ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023

Aug 15, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2023-08-14

Reporting Person: Shah Gaurav (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-14	Common Stock	M	7979	—	Acquired	529621	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-14	Restricted Stock Units	$	M	7979	Disposed		Common Stock (7979)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	207897	Indirect
Common Stock	198341	Indirect

Footnotes

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

F2: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.