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Filing Details

Accession Number:: 0001140361-22-012779
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2022-04-04 07:37:27
Reporting Period:: 2022-03-30

Accepted Time:: 2022-04-04 07:37:27
Original Submission Date:: 2022-04-01
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1281895	Rocket Pharmaceuticals Inc.	RCKT	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1726398	David Jonathan Schwartz	C/O Rocket Pharmaceuticals, Inc. 9 Cedarbrook Drive Cranbury NJ 08512	See Remarks	No	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2022-03-30	10,562	$15.94	213,967	No	4	S	Direct
Common Stock	Disposition	2022-03-30	34,438	$16.56	179,529	No	4	S	Direct
Common Stock	Disposition	2022-03-31	9,002	$15.90	170,527	No	4	S	Direct
Common Stock	Disposition	2022-03-31	35,998	$16.15	134,529	No	4	S	Direct
Common Stock	Disposition	2022-04-01	12,974	$15.86	121,555	No	4	S	Direct
Common Stock	Disposition	2022-04-01	32,026	$16.20	89,529	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Footnotes

This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."
The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3, 4, 5, 6, 7 and 8 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.83 to $15.99, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.70 to $15.99, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.