0001140361-18-045651.txt : 20181221 0001140361-18-045651.hdr.sgml : 20181221 20181221170043 ACCESSION NUMBER: 0001140361-18-045651 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181220 FILED AS OF DATE: 20181221 DATE AS OF CHANGE: 20181221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Patel Kinnari CENTRAL INDEX KEY: 0001725929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 181250326 MAIL ADDRESS: STREET 1: 430 EAST 29TH STREET STREET 2: SUITE 1040 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 FORM 4 X0306 4 2018-12-20 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725929 Patel Kinnari C/O ROCKET PHARMACEUTICALS, INC. 350 FIFTH AVENUE, SUITE 7530 NEW YORK NY 10118 true Chief Operating Officer Common Stock 2018-12-20 4 M 0 55869 1.21 A 55869 D Common Stock 5675 I By spouse Common Stock 94927 I By Adaptive Technology, LLC Stock Option (Right to Buy) 1.21 2018-12-20 4 M 0 55869 0 A 2026-04-18 Common Stock 55869 111738 D The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband. This option represents a right to purchase a total of 167,607 shares of the Issuer's Common Stock 56,072 of which became fully vested and exercisable on April 18, 2017, with the remaining 111,535 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer. /s/ Sara Turken, as attorney-in-fact for Kinnari Patel 2018-12-21