ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018

Jan 17, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-01-04

Reporting Person: Patel Kinnari (Chief Operating Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	94927	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$1.21	2026-04-18	Common Stock (167607)		Direct
Stock Option (Right to Buy)	$1.70	2027-04-12	Common Stock (38092)		Direct

Footnotes

F1: All numbers give effect to the 1:4 reverse stock split effected by the Issuer on January 4, 2018.

F2: This option represents a right to purchase a total of 167,607 shares of the Issuer's Common Stock 56,072 of which became fully vested and exercisable on April 18, 2017, with the remaining 111,535 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

F3: This option represents a right to purchase a total of 38,092 shares of the Issuer's Common Stock 13,103 of which will become fully vested and exercisable on April 12, 2018, with the remaining 24,989 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

F4: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.