0001140361-24-020127.txt : 20240416 0001140361-24-020127.hdr.sgml : 20240416 20240416174527 ACCESSION NUMBER: 0001140361-24-020127 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240412 FILED AS OF DATE: 20240416 DATE AS OF CHANGE: 20240416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOUTHWELL DAVID P CENTRAL INDEX KEY: 0001251553 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 24848881 MAIL ADDRESS: STREET 1: C/O INOTEK PHARMACEUTICALS CORPORATION STREET 2: 91 HARTWELL AVENUE CITY: LEXINGTON STATE: MA ZIP: 02421 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKET PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001281895 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 FORM 4 X0508 4 2024-04-12 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001251553 SOUTHWELL DAVID P C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true false Common Stock 2024-04-12 4 M 0 70000 4.342 A 165160 D Common Stock 2024-04-12 4 S 0 59716 24.224 D 105444 D Common Stock 2024-04-12 4 S 0 10284 25.156 D 95160 D Common Stock 2024-04-15 4 M 0 29624 4.342 A 124784 D Common Stock 2024-04-15 4 S 0 10000 24.052 D 114784 D Stock Option (Right to Buy) 4.342 2024-04-12 4 M 0 70000 4.342 D 2024-08-28 Common Stock 70000 29624 D Stock Option (Right to Buy) 4.342 2024-04-15 4 M 0 29624 4.342 D 2024-08-28 Common Stock 29624 0 D Represents shares received upon exercise of Stock Options, which would otherwise expire in August 2024. Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.87 to $24.68. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.155 to $25.17. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Shares were sold by the Reporting Person in order to cover certain tax obligations. Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.335. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018. /s/ Martin Wilson, as attorney-in-fact for David Southwell 2024-04-16