ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024

Apr 4, 2024

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2024-03-25

Reporting Person: Schwartz Jonathan David (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	172413	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$18.75	2028-03-29	Common Stock (60000)		Direct
Stock Option (Right to Buy)	$14.56	2029-01-28	Common Stock (75000)		Direct
Stock Option (Right to Buy)	$10.85	2029-09-02	Common Stock (30000)		Direct
Stock Option (Right to Buy)	$22.72	2030-02-06	Common Stock (75000)		Direct
Stock Option (Right to Buy)	$23.89	2030-02-10	Common Stock (7000)		Direct
Stock Option (Right to Buy)	$62.32	2031-02-04	Common Stock (35000)		Direct
Stock Option (Right to Buy)	$19.05	2032-02-14	Common Stock (81010)		Direct
Stock Option (Right to Buy)	$20.04	2033-02-14	Common Stock (124496)		Direct
Stock Option (Right to Buy)	$30.01	2034-02-16	Common Stock (57273)		Direct

Footnotes

F1: Represents 95,726 shares of the Issuer's common stock and 78,687 Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2: Includes unvested RSUs from grants of (i) 19,418 RSUs on February 16, 2024, (ii) 41,541 RSUs on February 14, 2023, and (iii) 25,984 RSUs on February 14, 2022; one-third of such RSUs granted vest on the first anniversary of the grant date and the remaining two-thirds vest in equal quarterly installments over the following two years. Includes a grant of 22,896 RSUs on August 12, 2022, all of which vest on August 12, 2025.

F3: This option represents a right to purchase shares of the Issuer's common stock, one-third become fully vested and exercisable on the first anniversary of the grant date, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.