ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2020

Feb 27, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2020-02-25

Reporting Person: Shah Gaurav (Director, President & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-25	Common Stock	M	290000	$0.4332	Acquired	976950	Direct
2020-02-25	Common Stock	F	6233	$20.15	Disposed	970717	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-02-25	Stock Option (Right to Buy)	$0.44	M	290000	Disposed	2020-12-15	Common Stock (290000)	Direct

Footnotes

F1: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration.

F2: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options.

F3: The option is fully vested and immediately exercisable and will expire under its own terms this year.

F4: As the result of an administrative error, the Form 3 previously filed with the Securities and Exchange Commission on January 16, 2018 incorrectly reported the expiration date of this option. The expiration date is corrected on this Form 4.