ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2021

Jun 21, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2021-06-16

Reporting Person: Makker Gotham (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-16	Common Stock	S	34685	$46.8457	Disposed	1296801	Indirect
2021-06-17	Common Stock	S	400	$47.125	Disposed	1296401	Indirect

Footnotes

F1: The securities reported herein were sold to cover certain tax liabilities. 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.