ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024

May 20, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2024-05-14

Reporting Person: Patel Kinnari (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-05-14	Common Stock	M	3990	—	Acquired	296291	Direct
2024-05-14	Common Stock	M	5553	—	Acquired	301824	Direct
2022-02-14	Common Stock	J	11970	—	Acquired	313794	Direct
2022-08-12	Common Stock	J	52489	—	Acquired	366283	Direct
2023-02-14	Common Stock	J	38735	—	Acquired	405018	Direct
2024-05-16	Common Stock	S	4046	$23.35	Disposed	400972	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-05-14	Restricted Stock Units	$	M	3990	Disposed		Common Stock (3990)	Direct
2024-05-14	Restricted Stock Units	$	M	5533	Disposed		Common Stock (5533)	Direct
2022-02-14	Restricted Stock Units	$	J	11970	Disposed		Common Stock (11970)	Direct
2022-08-12	Restricted Stock Units	$	J	52489	Disposed		Common Stock (52489)	Direct
2023-02-14	Restricted Stock Units	$	J	38735	Disposed		Common Stock (38735)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5675	Indirect
Common Stock	104927	Indirect

Footnotes

F1: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F3: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F4: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F5: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

F6: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.

F7: Each RSU represents a contingent right to receive one share of the Issuer's common stock.