0001140361-23-049426.txt : 20231025 0001140361-23-049426.hdr.sgml : 20231025 20231025093805 ACCESSION NUMBER: 0001140361-23-049426 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231020 FILED AS OF DATE: 20231025 DATE AS OF CHANGE: 20231025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Militello John CENTRAL INDEX KEY: 0001662170 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 231344207 MAIL ADDRESS: STREET 1: C/O IMMUNE PHARMACEUTICALS INC. STREET 2: 430 EAST 29TH STREET, SUITE 940 CITY: NEW YORK STATE: NY ZIP: 10016 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKET PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001281895 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 350 FIFTH AVENUE STREET 2: SUITE 7530 CITY: NEW YORK STATE: NY ZIP: 10118 BUSINESS PHONE: 646-440-9100 MAIL ADDRESS: STREET 1: 350 FIFTH AVENUE STREET 2: SUITE 7530 CITY: NEW YORK STATE: NY ZIP: 10118 FORMER COMPANY: FORMER CONFORMED NAME: INOTEK PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20040226 4 1 form4.xml X0508 4 2023-10-20 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001662170 Militello John C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true See Remarks false Common Stock 2023-10-20 4 S 0 564 17.062 D 8760 D The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement. VP, Principal Accounting Officer and Interim Principal Financial Officer /s/ Martin Wilson, as attorney-in-fact for John Militello 2023-10-25