ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018

Dec 10, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-11-28

Reporting Person: SOUTHWELL DAVID P (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-11-28	Common Stock	M	153125	—	Acquired	191660	Direct
2018-12-06	Common Stock	S	52809	$15.15	Disposed	138851	Direct
2018-12-07	Common Stock	S	4923	$14.91	Disposed	133928	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-11-28	Restricted Stock Units	$	M	65625	Disposed		Common Stock (153125)	Direct

Footnotes

F1: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions.

F2: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units.

F3: This transaction was executed in multiple trades at prices ranging from $14.91 to $15.65. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F4: This transaction was executed in multiple trades at prices ranging from $14.75 to $15.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F5: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units became fully vested on January 4, 2018.