Filing Details

Accession Number:
0001140361-23-053713
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-11-16 19:24:13
Reporting Period:
2023-11-15
Accepted Time:
2023-11-16 19:24:13
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
1726391 Gotham Makker C/O Rocket Pharmaceuticals, Inc.
9 Cedarbrook Drive
Cranbury NJ 08512
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2023-11-15 20,000 $22.53 1,296,497 No 4 S Indirect By Simran Investment Group
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Simran Investment Group
Footnotes
  1. The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").
  2. The shares were sold by the reporting person pursuant to an exemption to the Lock-Up Agreement in order to pay certain tax obligations. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.
  3. The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein.