ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2021

Feb 4, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2021-02-01

Reporting Person: Schwartz Jonathan David (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-01	Common Stock	M	11428	$1.69	Acquired	11428	Direct
2021-02-01	Common Stock	M	213101	$1.21	Acquired	224529	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-01	Stock Option (Right to Buy)	$1.69	D	11428	Disposed	2027-04-12	Common Stock (11428)	Direct
2020-02-10	Stock Option (Right to Buy)	$1.21	D	213101	Disposed	2026-02-08	Common Stock (213101)	Direct

Footnotes

F1: This option represents a right to purchase a total of 11,428 shares of the Issuer's Common Stock 4,113 of which will become fully vested and exercisable on April 12, 2018, with the remaining 7,315 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

F2: This option represents a right to purchase a total of 251,410 shares of the Issuer's Common Stock 83,803 of which became fully vested and exercisable on February 8, 2017, with the remaining 167,607 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.