0001140361-19-004456.txt : 20190305 0001140361-19-004456.hdr.sgml : 20190305 20190305192332 ACCESSION NUMBER: 0001140361-19-004456 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190301 FILED AS OF DATE: 20190305 DATE AS OF CHANGE: 20190305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Gaurav CENTRAL INDEX KEY: 0001725922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 19660667 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 2019-03-01 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725922 Shah Gaurav C/O ROCKET PHARMACEUTICALS, INC. 350 FIFTH AVENUE, SUITE 7530 NEW YORK NY 10118 true true See Remarks Common Stock 2019-03-01 4 S 0 25000 17.34 D 736850 D Common Stock 2019-03-04 4 S 0 24900 17.28 D 711950 D Common Stock 2019-03-05 4 S 0 25000 16.9 D 686950 D This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $17.01 to $17.56. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $16.76 to $17.71. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $16.43 to $17.73. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. President and Chief Executive Officer /s/ Sara Turken, as attorney-in-fact for Gaurav Shah 2019-03-05