ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2019

Apr 26, 2019

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-12-31

Reporting Person: Patel Kinnari (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-08-17	Common Stock	M	55869	$1.21	Acquired	111738	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-08-17	Stock Option (Right to Buy)	$1.21	M	55869	Disposed	2026-04-18	Common Stock (55869)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5675	Indirect
Common Stock	94927	Indirect

Footnotes

F1: Reflects the total number of shares owned by the reporting person as of December 31, 2018 and as of the date hereof. The reporting person inadvertently failed to previously report the transaction reported herein. As a result, the shares that the reporting person held directly were understated by 55,869 shares in the reporting person's Form 4 report filed on December 21, 2018.

F2: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.

F3: 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.

F4: Reflects the number of derivative securities beneficially owned following the transaction reported herein. The derivative securities that the reporting person beneficially owned were overstated by 55,869 derivative securities in the reporting person's Form 4 filed on December 21, 2018.