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: Yalamanchi Naveen (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-02	Common Stock	G	31250	—	Disposed	82391	Indirect

Footnotes

F1: Excludes 17,530,044 shares beneficially owned by each of (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of the shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Special Purpose Fund II, LLC, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner of Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, in which Dr. Yalamanchi has a pecuniary interest. Dr. Yalamanchi disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.