ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023

Feb 23, 2023

SEC Form 4/A — Form 4/A

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2023-02-14

Reporting Person: Schwartz Jonathan David (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-02-14	Common Stock	M	8574	—	Acquired	98103	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-02-14	Stock Option (Right to Buy)	$20.04	A	124496	Acquired	2033-02-13	Common Stock (124496)	Direct
2023-02-14	Restricted Stock Units	$	A	41541	Acquired		Common Stock (41541)	Direct
2023-02-14	Restricted Stock Units	$	M	8574	Acquired		Common Stock (8574)	Direct

Footnotes

F1: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.

F2: Represents shares of Common Stock received upon vesting of a restricted stock unit award.

F3: This option represents a right to purchase a total of 124,496 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F4: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F6: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.