0001140361-23-047589.txt : 20231010 0001140361-23-047589.hdr.sgml : 20231010 20231010161150 ACCESSION NUMBER: 0001140361-23-047589 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231005 FILED AS OF DATE: 20231010 DATE AS OF CHANGE: 20231010 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: 231318087 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 X0508 4 2023-10-05 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725929 Patel Kinnari C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true See Remarks false Common Stock 2023-10-05 4 M 0 3333 0 A 101594 I By Adaptive Technology LLC Common Stock 5675 I By Spouse Common Stock 216448 D Restricted Stock Units 2023-10-05 4 M 0 3333 0 D Common Stock 3333 0 I By Adaptive Technology LLC Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award. The shares are held indirectly through Adaptive Technology, LLC, ("Adaptive Technology") a limited liability company that is owned and managed by the reporting person's husband. The restricted stock units were granted to Adaptive Technology, in connection with a Consulting Agreement for information technology services provided to the Company. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. One-third (1/3) of such RSUs became fully vested and exercisable on October 5, 2021, with the remaining shares vesting in equal annual installments over the following two years. President & Chief Operating Officer /s/ Martin Wilson, as attorney-in-fact for Kinnari Patel 2023-10-10