RCKT

SEC source: 0001493152-19-019095 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 17,282,324

F1 · ownership.nature: Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $22.25 per share. The Offering is expected to close on December 13, 2019.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd., RTW Special Purpose Fund II, LLC and RTW Venture Fund Limited, which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or his pecuniary interest therein. The shares reported above exclude 113,641 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016.

SEC source: 0001209191-19-055529 · doc4.xml · derivative · entry 1

Alam Kamran · CIK 0001793412 · SVP - Finance & PFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-11-04

F1 · derivative.exercise_date: This option represents a right to purchase a total of 200,000 shares of the Issuer's Common Stock, 1/3 of which will become fully vested and exercisable on November 4, 2020, with the remaining 2/3 vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-19-048190 · doc4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-09-02

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, 10,000 of which will become fully vested and exercisable on September 2, 2020, with the remaining 20,000 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-19-048187 · doc4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-09-02

F1 · derivative.exercise_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on September 2, 2020, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-19-048188 · doc4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-09-02

F1 · derivative.exercise_date: This option represents a right to purchase a total of 50,000 shares of the Issuer's Common Stock, 16,672 of which will become fully vested and exercisable on September 2, 2020, with the remaining 33,328 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-19-007331 · form4.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 17,057,324

F1 · ownership.nature: Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering"). The Offering closed on April 18, 2019 and the shares were purchased at the public offering price of $17.50 per share.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Special Purpose Fund I, LLC (collectively, the "Funds"), which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of his pecuniary interest therein. The shares reported above exclude 113,641 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016.

SEC source: 0001140361-19-004456 · form4.xml · nonDerivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 686,950

F3 · price: 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.

SEC source: 0001140361-19-004456 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,950

F2 · price: 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.

SEC source: 0001140361-19-004456 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 736,850

F1 · price: 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.

SEC source: 0001140361-19-002009 · form4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,666

Underlying: Common Stock · 4,666 shares

Expires 2029-01-28

F2 · price: This option represents a right to purchase a total of 4,666 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020. This option was issued to the Reporting Person in lieu of director retainer fees of $46,500.

F2 · derivative.exercise_date: This option represents a right to purchase a total of 4,666 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020. This option was issued to the Reporting Person in lieu of director retainer fees of $46,500.

SEC source: 0001140361-19-002009 · form4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.

SEC source: 0001140361-19-002016 · form4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 75,000 shares of the Issuer's Common Stock, 25,000 of which will become fully vested and exercisable on January 28, 2020, with the remaining 50,000 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-19-002007 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, 6,672 of which will become fully vested and exercisable on January 28, 2020, with the remaining 13,328 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-19-002003 · form4.xml · derivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,500

Underlying: Common Stock · 40,500 shares

Expires 2029-01-28

F1 · derivative.exercise_date: . This option represents a right to purchase a total of 40,500 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.

SEC source: 0001140361-19-002013 · form4.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.

SEC source: 0001140361-19-002021 · form4.xml · derivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.

SEC source: 0001140361-19-002011 · form4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.

SEC source: 0001140361-19-002005 · form4.xml · derivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.

SEC source: 0001140361-19-002001 · form4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,700

Underlying: Common Stock · 315,700 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 315,700 shares of the Issuer's Common Stock, 105,236 of which will become fully vested and exercisable on January 28, 2020, with the remaining 210,464 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-19-002000 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 180,000 shares of the Issuer's Common Stock, 60,000 of which will become fully vested and exercisable on January 28, 2020, with the remaining 120,000 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-18-046034 · form4.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 16,507,319

F1 · ownership.nature: The shares of common stock were purchased from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Special Purpose Fund I, LLC (collectively, the "Funds"), which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of his pecuniary interest therein. The shares reported above exclude 113,641 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016.

SEC source: 0001140361-18-045651 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,738

Underlying: Common Stock · 55,869 shares

Expires 2026-04-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 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.

SEC source: 0001140361-18-045651 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,869

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001140361-18-045226 · form4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,160

F1 · kind: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units.

F2 · price: This transaction was executed in multiple trades at prices ranging from $15.00 to $15.80. 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.

SEC source: 0001140361-18-044850 · form4.xml · nonDerivative · entry 3

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,928

F2 · kind: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units.

F4 · price: This transaction was executed in multiple trades at prices ranging from $14.75 to $15.20. 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.

SEC source: 0001140361-18-044850 · form4.xml · nonDerivative · entry 2

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,851

F2 · kind: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units.

F3 · price: This transaction was executed in multiple trades at prices ranging from $14.91 to $15.65. 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.

SEC source: 0001140361-18-044847 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 5,675

SEC source: 0001140361-18-044850 · form4.xml · derivative · entry 4

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 153,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions.

F5 · derivative.exercise_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units became fully vested on January 4, 2018.

F5 · derivative.expiration_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units became fully vested on January 4, 2018.

SEC source: 0001140361-18-044850 · form4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,660

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions.

SEC source: 0001140361-18-044107 · form4.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 16,407,319

F1 · ownership.nature: The shares of common stock were purchased from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Special Purpose Fund I, LLC (collectively, the "Funds"), which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer.

F3 · ownership.nature: Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW. Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of his pecuniary interest therein. The shares reported above exclude 113,641 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016.

SEC source: 0001140361-18-037296 · form4.xml · derivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below, which represent ordinary course rebalancing transactions in which the Funds (as defined below) entered into equity swap agreements to rebalance holdings between the Funds. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F3 · kind: On August 27, 2018, RTW Master Fund, Ltd. entered into an equity swap agreement with the same a third party. The reported equity swap was on a basket of securities, which included 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Master Fund, Ltd. will be obligated to pay to the third party any appreciation of the basket of reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Master Fund, Ltd. any depreciation of the basket of reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F3 · price: On August 27, 2018, RTW Master Fund, Ltd. entered into an equity swap agreement with the same a third party. The reported equity swap was on a basket of securities, which included 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Master Fund, Ltd. will be obligated to pay to the third party any appreciation of the basket of reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Master Fund, Ltd. any depreciation of the basket of reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F3 · derivative.exercise_date: On August 27, 2018, RTW Master Fund, Ltd. entered into an equity swap agreement with the same a third party. The reported equity swap was on a basket of securities, which included 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Master Fund, Ltd. will be obligated to pay to the third party any appreciation of the basket of reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Master Fund, Ltd. any depreciation of the basket of reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F3 · derivative.expiration_date: On August 27, 2018, RTW Master Fund, Ltd. entered into an equity swap agreement with the same a third party. The reported equity swap was on a basket of securities, which included 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Master Fund, Ltd. will be obligated to pay to the third party any appreciation of the basket of reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Master Fund, Ltd. any depreciation of the basket of reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F1 · ownership.nature: This Form 4 is being filed in connection with the equity swap transactions described below, which represent ordinary course rebalancing transactions in which the Funds (as defined below) entered into equity swap agreements to rebalance holdings between the Funds. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F4 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd. and RTW Innovation Master Fund, Ltd. (collectively, the "Funds"), which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F5 · ownership.nature: (continued from Footnote 4) Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of his pecuniary interest therein.

SEC source: 0001140361-18-037296 · form4.xml · derivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below, which represent ordinary course rebalancing transactions in which the Funds (as defined below) entered into equity swap agreements to rebalance holdings between the Funds. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2 · kind: On August 27, 2018, RTW Innovation Master Fund, Ltd. entered into an equity swap agreement with a third party. The reported equity swap was on 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Innovation Master Fund, Ltd. will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Innovation Master Fund, Ltd. any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F2 · price: On August 27, 2018, RTW Innovation Master Fund, Ltd. entered into an equity swap agreement with a third party. The reported equity swap was on 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Innovation Master Fund, Ltd. will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Innovation Master Fund, Ltd. any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F2 · derivative.exercise_date: On August 27, 2018, RTW Innovation Master Fund, Ltd. entered into an equity swap agreement with a third party. The reported equity swap was on 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Innovation Master Fund, Ltd. will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Innovation Master Fund, Ltd. any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F2 · derivative.expiration_date: On August 27, 2018, RTW Innovation Master Fund, Ltd. entered into an equity swap agreement with a third party. The reported equity swap was on 500,000 shares of Common Stock of the Issuer. Under the equity swap, RTW Innovation Master Fund, Ltd. will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to RTW Innovation Master Fund, Ltd. any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swap expires on August 27, 2023, subject to extension.

F1 · ownership.nature: This Form 4 is being filed in connection with the equity swap transactions described below, which represent ordinary course rebalancing transactions in which the Funds (as defined below) entered into equity swap agreements to rebalance holdings between the Funds. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F4 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd. and RTW Innovation Master Fund, Ltd. (collectively, the "Funds"), which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F5 · ownership.nature: (continued from Footnote 4) Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of his pecuniary interest therein.

SEC source: 0001140361-19-007695 · form5.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,738

Underlying: Common Stock · 55,869 shares

Expires 2026-04-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

F4 · balance_after: Reflects the number of derivative securities beneficially owned following the transaction reported herein. The derivative securities that the reporting person beneficially owned were overstated by 55,869 derivative securities in the reporting person's Form 4 filed on December 21, 2018.

SEC source: 0001140361-19-007695 · form5.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,738

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Reflects the total number of shares owned by the reporting person as of December 31, 2018 and as of the date hereof. The reporting person inadvertently failed to previously report the transaction reported herein. As a result, the shares that the reporting person held directly were understated by 55,869 shares in the reporting person's Form 4 report filed on December 21, 2018.

SEC source: 0001140361-18-035455 · form4.xml · nonDerivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016

Disclosed balance after: 113,641

F1 · kind: The sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan entered into by Dr. Yalamanchi dated as of July 10, 2018.

F2 · balance_after: Excludes 15,439,577 shares beneficially owned by each of (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Special Purpose Fund I, LLC, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, in which Dr. Yalamanchi has a pecuniary interest. Dr. Yalamanchi disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001140361-18-030373 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-06-25

F1 · derivative.exercise_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on June 25, 2019, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0000899243-18-009127 · doc4.xml · derivative · entry 3

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,625

Underlying: Common Stock · 21,875 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of RCKT common stock.

F3 · derivative.exercise_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units vest in equal annual installments over 4 years from the January 23, 2017 date of grant, subject to continued service through such dates.

F3 · derivative.expiration_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units vest in equal annual installments over 4 years from the January 23, 2017 date of grant, subject to continued service through such dates.

SEC source: 0000899243-18-009127 · doc4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,535

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of RCKT common stock.

SEC source: 0000899243-18-009117 · doc4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300

Underlying: Common Stock · 3,300 shares

Expires 2028-03-29

F2 · price: This option represents a right to purchase a total of 3,300 shares of the Issuer's Common Stock, 1,116 of which will become fully vested and exercisable on March 29, 2019, with the remaining 2,184 shares vesting in equal monthly installments over the following two years. This option was issued to the Reporting Person in lieu of director retainer fees of $46,500.

F2 · derivative.exercise_date: This option represents a right to purchase a total of 3,300 shares of the Issuer's Common Stock, 1,116 of which will become fully vested and exercisable on March 29, 2019, with the remaining 2,184 shares vesting in equal monthly installments over the following two years. This option was issued to the Reporting Person in lieu of director retainer fees of $46,500.

SEC source: 0000899243-18-009117 · doc4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.

SEC source: 0000899243-18-009111 · doc4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 60,000 shares of the Issuer's Common Stock, 20,000 of which will become fully vested and exercisable on March 29, 2019, with the remaining 40,000 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0000899243-18-009112 · doc4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0000899243-18-009131 · doc4.xml · derivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

Underlying: Common Stock · 47,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,000 shares of the Issuer's Common Stock, 15,680 of which will become fully vested and exercisable on March 29, 2019, with the remaining 31,320 shares vesting in equal monthly installments over the following two years.

SEC source: 0000899243-18-009127 · doc4.xml · derivative · entry 2

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F2 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.

SEC source: 0000899243-18-009125 · doc4.xml · derivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.

SEC source: 0000899243-18-009124 · doc4.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.

SEC source: 0000899243-18-009120 · doc4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.

SEC source: 0000899243-18-009118 · doc4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,000

Underlying: Common Stock · 395,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 395,000 shares of the Issuer's Common Stock, 131,672 of which will become fully vested and exercisable on March 29, 2019, with the remaining 263,328 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0000899243-18-009113 · doc4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2028-03-29

F1 · derivative.exercise_date: This option represents a right to purchase a total of 175,000 shares of the Issuer's Common Stock, 58,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 116,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-17-053158 · doc4.xml · nonDerivative · entry 1

RITTER DALE · CIK 0001244154 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,827

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 7,327 shares of ITEK's common stock acquired under ITEK's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I information. Of these 7,237 shares of ITEK's common stock, 2,591 shares were acquired on November 30, 2015 at the price of $4.83, 782 shares were acquired on May 31, 2016 at the price of $7.82, 1,765 shares were acquired on November 30, 2016 at the price of $5.44 and 2,189 shares were acquired on May 31, 2017 at the price of $1.45.

F2 · balance_after: On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below.