ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023

Oct 10, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2023-10-05

Reporting Person: Patel Kinnari (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-10-05	Common Stock	M	3333	—	Acquired	101594	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-10-05	Restricted Stock Units	$	M	3333	Disposed		Common Stock (3333)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5675	Indirect
Common Stock	216448	Direct

Footnotes

F1: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F2: The shares are held indirectly through Adaptive Technology, LLC, ("Adaptive Technology") a limited liability company that is owned and managed by the reporting person's husband. The restricted stock units were granted to Adaptive Technology, in connection with a Consulting Agreement for information technology services provided to the Company.

F3: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4: One-third (1/3) of such RSUs became fully vested and exercisable on October 5, 2021, with the remaining shares vesting in equal annual installments over the following two years.