ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024

Mar 26, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2024-03-21

Reporting Person: Militello John (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-02-14	Common Stock	J	2903	—	Acquired	24420	Direct
2022-04-18	Common Stock	J	7932	—	Acquired	32352	Direct
2022-08-12	Common Stock	J	14310	—	Acquired	46662	Direct
2023-02-14	Common Stock	J	11067	—	Acquired	57729	Direct
2024-03-21	Common Stock	S	2490	$28.104	Disposed	55239	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-02-14	Restricted Stock Units	$	J	2903	Acquired		Common Stock (2903)	Direct
2022-04-18	Restricted Stock Units	$	J	7932	Acquired		Common Stock (7932)	Direct
2022-08-12	Restricted Stock Units	$	J	14310	Acquired		Common Stock (14310)	Direct
2023-02-14	Restricted Stock Units	$	J	11067	Acquired		Common Stock (2903)	Direct

Footnotes

F1: 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.

F2: 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: Vests in full on August 12, 2025.

F4: The shares of common stock were sold by the Reporting Person in order to pay tax obligations in connection with the vesting of RSUs over the course of 2023.

F5: Each RSU represents a contingent right to receive one share of the Issuer's common stock.