ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2021

Feb 17, 2021

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2020-12-31

Reporting Person: Shah Gaurav (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-09	Common Stock	G	207897	—	Disposed	821100	Direct
2020-12-09	Common Stock	G	207897	—	Acquired	207897	Indirect
2020-12-18	Common Stock	G	126341	—	Disposed	694759	Direct
2020-12-18	Common Stock	G	126341	—	Acquired	126341	Indirect
2020-12-31	Common Stock	G	72000	—	Disposed	622759	Direct
2020-12-31	Common Stock	G	72000	—	Acquired	198341	Indirect

Footnotes

F1: Represents a Gift of 207,897 shares on December 9, 2020 to Falguni G. Shah, the spouse of the Reporting Person.

F2: Represents a Gift of (i) 126,341 shares on December 18, 2020 and (ii) 72,000 shares on December 31, 2020 to the Gaurav D. Shah Irrevocable Trust.