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