ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2021

Mar 26, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2021-03-24

Reporting Person: Patel Kinnari (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-24	Common Stock	M	55869	$1.21	Acquired	150846	Direct
2021-03-24	Common Stock	M	38093	$1.69	Acquired	188939	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-24	Stock Option (Right to Buy)	$1.21	M	55869	Disposed	2026-04-18	Common Sock (55869)	Direct
2021-03-24	Stock Option (Right to Buy)	$1.69	M	38093	Disposed	2027-04-12	Common Sock (38093)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6675	Indirect
Common Stock	94937	Indirect

Footnotes

F1: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.

F2: This option is fully vested and exercisable.