X0306 4 2021-03-31 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725922 Shah Gaurav C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true true CEO Common Stock 2021-03-31 4 F 0 7493 45.9409 D 517905 D Common Stock 2021-04-01 4 F 0 5919 45.2063 D 511986 D Common Stock 2021-04-01 4 F 0 8872 46.4467 D 503114 D Common Stock 2021-04-01 4 F 0 7475 47.2111 D 495639 D Common Stock 207897 I By Spouse Common Stock 198341 I By Gaurav D. Shah Irrevocable Trust The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $45.67 to $46.57. 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 $44.83 to $45.79. 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 $45.88 to $46.87. 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 $46.88 to $47.76. 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. /s/ Sara Turken, as attorney-in-fact for Gaurav Shah 2021-04-01