ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023

Oct 21, 2023

SEC Form 4/A — Form 4/A

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2023-02-17

Reporting Person: Militello John (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-02-17	Common Stock	S	1076	$19.06	Disposed	1782	Direct
2023-10-18	Common Stock	M	1586	—	Acquired	9324	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-10-18	Restricted Stock Units	$	M	1586	Disposed		Common Stock (1586)	Direct

Footnotes

F1: This Form 4 corrects an error on the original Form 4 filed on February 22, 2023. The original Form 4 stated that the Reporting Person sold 1,244 shares of the Issuer's common stock to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. The Reporting Person sold 1,076 shares of the Issuer's common stock on February 17, 2023 to cover tax withholding obligations in connection with the vesting of RSUs.

F2: The error in the original Form 4 was carried through in Column 5 of Table 1 in subsequent filings but is corrected in the total amount of securities owned in this Form 4.

F3: This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4: Represents shares of Common Stock received upon vesting of an RSU award.

F5: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F6: One-third (1/3) of such RSUs became fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.