Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-008006
Date:2020-02-06
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
Original Submission Date:

Reporting Person:

ALAM KAMRAN
C/O ROCKET PHARMACEUTICALS, INC.
350 FIFTH AVENUE, SUITE 7530 NEW YORK, NY 10118

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 22.72 2020-02-06 deemed execution date A 25,000 (a) 2030-02-06 common stock 25,000 $22.72 25,000 direct
STOCK OPTION (RIGHT TO BUY) 23.89 2020-02-10 deemed execution date A 3,000 (a) 2030-02-10 common stock 3,000 $23.89 3,000 direct
Footnotes
IDfootnote
f1 this option represents a right to purchase a total of 25,000 shares of the issuer's common stock, one-third of which will become fully vested and exercisable on february 6, 2021, 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.
f2 this option represents a right to purchase a total of 3,000 shares of the issuer's common stock, one-third of which will become fully vested and exercisable on february 10, 2021, 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.
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