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Patel Kinnari

Disclosed activity across 1 company

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79378
SEC CIK
0001725929

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627See RemarksMay 20, 2025May 22, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ROCKET PHARMACEUTICALS, INC.

Report date May 20, 2025 · Filed May 22, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect441,927 Reported balance After 2025-05-20 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2025-05-20 · Sale · Disposed 767 · Balance 441,927

F1: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Common StockSEC Table I · non-derivativeIndirectBy Spouse26,774 Reported balance Holding disclosure · report date 2025-05-20 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 26,774

Common StockSEC Table I · non-derivativeIndirectBy Adaptive Technology LLC104,927 Reported balance Holding disclosure · report date 2025-05-20 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 104,927

F3: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.

Filing footnotes · ownership attribution and instrument terms

F1: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

F3: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 20, 2025 Filed May 22, 2025 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 767 $6.45 $4,944.08
Disclosure

SEC source: 0001140361-25-020161 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 441,927

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 16, 2025 Filed May 20, 2025 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 1,409 $6.53 $9,197.95
Disclosure

SEC source: 0001140361-25-019901 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 442,694

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
April 09, 2025 Filed Apr 10, 2025 20:07 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 PurchaseCommon Stock 21,099 $4.70 $99,165.30
Disclosure

SEC source: 0001140361-25-013253 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 26,774

F1 · price: On April 9, 2025, the Reporting Person's husband purchased 21,099 shares of Common Stock in a series of brokered transactions at prices ranging from $4.65 to $4.78 and a weighted average price per share of $4.70 (rounded to two decimal places), for an aggregate purchase price of approximately $99,157. The detailed breakdown of executed sales will be furnished upon request.

Read SEC document
February 21, 2025 Filed Feb 25, 2025 21:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 6,078 $10.58 $64,305.24
Disclosure

SEC source: 0001140361-25-005847 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 444,103

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
February 11, 2025 Filed Feb 13, 2025 21:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 172,214 $0.00 Strike: $9.88 $0.00
Disclosure

SEC source: 0001140361-25-004294 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,214

Underlying: Common Stock · 172,214 shares

Expires 2035-02-11

F3 · derivative.exercise_date: This option represents a right to purchase a total of 172,214 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

Read SEC document
February 11, 2025 Filed Feb 13, 2025 21:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantCommon Stock 57,786 $0.00 $0.00
Disclosure

SEC source: 0001140361-25-004294 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,181

F1 · security: Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
November 21, 2024 Filed Nov 25, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 4,588 $13.05 $59,891.75
Disclosure

SEC source: 0001140361-24-047756 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 392,395

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
August 16, 2024 Filed Aug 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 3,989 $18.50 $73,812.46
Disclosure

SEC source: 0001140361-24-037933 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 396,983

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 16, 2024 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 4,046 $23.35 $94,474.10
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 6

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,972

F5 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 5,533 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 10

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,735

Underlying: Common Stock · 5,533 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 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 3,990 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 9

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,970

Underlying: Common Stock · 3,990 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 · security: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 5,553 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,824

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 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 3,990 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,291

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 · security: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 98,183 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008889 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,183

Underlying: Common Stock · 98,183 shares

Expires 2034-02-16

F6 · derivative.exercise_date: This option represents a right to purchase a total of 98,183 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantCommon Stock 33,288 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008889 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 271,634

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F4 · security: Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 7,132 $29.84 $212,804.62
Disclosure

SEC source: 0001140361-24-008889 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 238,346

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F2 · shares: The sales reported on this Form 4 represent shares 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.

F3 · shares: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 22,199 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008358 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,268

Underlying: Common Stock · 22,199 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal annual installments over the following two years.

F5 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal annual installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 3,990 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008358 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,960

Underlying: Common Stock · 3,990 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 26,189 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008358 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,478

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 · security: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
November 14, 2023 Filed Nov 17, 2023 00:17 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 3,989 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-053711 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,950

Underlying: Common Stock · 3,989 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

Read SEC document
November 14, 2023 Filed Nov 17, 2023 00:17 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 3,989 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-053711 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,437

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 · security: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
October 05, 2023 Filed Oct 10, 2023 20:11 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-047589 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · By Adaptive Technology LLC

Disclosed balance after: 0

Underlying: Common Stock · 3,333 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

F2 · ownership.nature: 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.

Read SEC document
October 05, 2023 Filed Oct 10, 2023 20:11 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 3,333 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-047589 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · By Adaptive Technology LLC

Disclosed balance after: 101,594

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 · security: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F2 · ownership.nature: 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.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 1,534 $15.47 $23,732.51
Disclosure

SEC source: 0001140361-23-040695 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,448

F1 · security: The sales reported on this Form 4 represent shares 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.

F1 · kind: The sales reported on this Form 4 represent shares 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.

Read SEC document
August 14, 2023 Filed Aug 15, 2023 20:16 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 3,989 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-039904 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,993

Underlying: Common Stock · 3,989 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
August 14, 2023 Filed Aug 15, 2023 20:16 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 3,989 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-039904 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,982

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 · security: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
May 17, 2023 Filed May 19, 2023 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 1,330 $21.38 $28,428.75
Disclosure

SEC source: 0001140361-23-025743 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,993

F1 · security: The sales reported on this Form 4 represent shares 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.

F1 · kind: The sales reported on this Form 4 represent shares 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.

Read SEC document
May 14, 2023 Filed May 16, 2023 23:57 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 3,989 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-025131 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,982

Underlying: Common Stock · 3,989 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

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May 14, 2023 Filed May 16, 2023 23:57 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 3,989 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-025131 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215,323

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 · security: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:45 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantRestricted Stock Units · Derivative 66,467 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-007483 · form4.xml · derivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,467

Underlying: Common Stock · 66,467 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:45 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 199,194 $0.00 Strike: $20.04 $0.00
Disclosure

SEC source: 0001140361-23-007483 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,194

Underlying: Common Stock · 199,194 shares

Expires 2033-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 199,194 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 15,720 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-008100 · form4.xml · derivative · entry 6

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,917

Underlying: Common Stock · 15,720 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 · security: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F7 · derivative.expiration_date: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantRestricted Stock Units · Derivative 66,467 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-008100 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,467

Underlying: Common Stock · 66,467 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F6 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 199,194 $0.00 Strike: $20.04 $0.00
Disclosure

SEC source: 0001140361-23-008100 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,194

Underlying: Common Stock · 199,194 shares

Expires 2033-02-13

F4 · derivative.exercise_date: This option represents a right to purchase a total of 199,194 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 15,720 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-008100 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,566

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 · security: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.

F2 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit award.

Read SEC document
February 14, 2023 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherRestricted Stock Units · Derivative 38,735 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 13

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,735 shares

Expires not disclosed

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F2 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherCommon Stock 38,735 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 5

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 405,018

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

Read SEC document
August 12, 2022 Filed Aug 16, 2022 21:31 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantRestricted Stock Units · Derivative 52,489 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-029892 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,489

Underlying: Common Stock · 52,489 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units will become fully vested on August 12, 2025.

F2 · derivative.expiration_date: The restricted stock units will become fully vested on August 12, 2025.

Read SEC document
August 12, 2022 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherRestricted Stock Units · Derivative 52,489 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 12

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 52,489 shares

Expires not disclosed

F4 · security: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F4 · derivative.exercise_date: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F4 · derivative.expiration_date: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

Read SEC document
August 12, 2022 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherCommon Stock 52,489 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 366,283

F3 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F4 · security: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

Read SEC document
February 14, 2022 Filed Feb 17, 2022 02:03 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantRestricted Stock Units · Derivative 47,637 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-005826 · form4.xml · derivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,637

Underlying: Common Stock · 47,637 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2022 Filed Feb 17, 2022 02:03 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 148,518 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001140361-22-005826 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,518

Underlying: Common Stock · 148,518 shares

Expires 2032-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 148,518 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2022 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherRestricted Stock Units · Derivative 11,970 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 11

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,970 shares

Expires not disclosed

F1 · security: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2022 Filed May 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherCommon Stock 11,970 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 3

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,794

F1 · security: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

Read SEC document
March 24, 2021 Filed Mar 26, 2021 22:17 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionStock Option (Right to Buy) · Derivative 38,093 $0.00 Strike: $1.69 $0.00
Disclosure

SEC source: 0001140361-21-010348 · form4.xml · derivative · entry 6

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Sock · 38,093 shares

Expires 2027-04-12

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 is fully vested and exercisable.

Read SEC document
March 24, 2021 Filed Mar 26, 2021 22:17 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionStock Option (Right to Buy) · Derivative 55,869 $0.00 Strike: $1.21 $0.00
Disclosure

SEC source: 0001140361-21-010348 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Sock · 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 is fully vested and exercisable.

Read SEC document
March 24, 2021 Filed Mar 26, 2021 22:17 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 38,093 $1.69 $64,377.17
Disclosure

SEC source: 0001140361-21-010348 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,939

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.

Read SEC document
March 24, 2021 Filed Mar 26, 2021 22:17 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 55,869 $1.21 $67,601.49
Disclosure

SEC source: 0001140361-21-010348 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,846

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.

Read SEC document
February 04, 2021 Filed Feb 9, 2021 01:48 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 120,000 $0.00 Strike: $62.32 $0.00
Disclosure

SEC source: 0001140361-21-003787 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Sock · 120,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The option represents a right to purchase a total of 120,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

Read SEC document
December 28, 2020 Filed Dec 30, 2020 21:50 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 5,427 $57.17 $310,237.71
Disclosure

SEC source: 0001140361-20-029917 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,977

F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan dated 10/23/2020 in multiple trades at prices ranging from $56.903 to $57.49. 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.