| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RCKT | Common Stock | Sale | -$168K | -10.6K | -4.7% | $15.94 | 214K | Mar 30, 2022 | Direct | F1, F3 |
| transaction | RCKT | Common Stock | Sale | -$570K | -34.4K | -16.1% | $16.56 | 180K | Mar 30, 2022 | Direct | F1, F4 |
| transaction | RCKT | Common Stock | Sale | -$143K | -9K | -5.01% | $15.90 | 171K | Mar 31, 2022 | Direct | F1, F2, F5 |
| transaction | RCKT | Common Stock | Sale | -$581K | -36K | -21.11% | $16.15 | 135K | Mar 31, 2022 | Direct | F1, F2, F6 |
| transaction | RCKT | Common Stock | Sale | -$206K | -13K | -9.64% | $15.86 | 122K | Apr 1, 2022 | Direct | F1, F2, F7 |
| transaction | RCKT | Common Stock | Sale | -$519K | -32K | -26.35% | $16.20 | 89.5K | Apr 1, 2022 | Direct | F1, F2, F8 |
| Id | Content |
|---|---|
| F1 | This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." |
| F2 | The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022. |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3, 4, 5, 6, 7 and 8 to this Form 4. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.83 to $15.99, inclusive. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.70 to $15.99, inclusive. |
| F8 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive. |
Chief Medical Officer & Clinical Development, SVP.