| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Makker Gotham | Director | C/O ROCKET PHARMACEUTICALS, INC., 9 CEDARBROOK DRIVE, CRANBURY | /s/ Martin Wilson, as attorney-in-fact for Gotham Makker | 2025-07-18 | 0001726391 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RCKT | Common Stock | Award | $0 | +30K | +8.2% | $0.00 | 396K | Jun 18, 2025 | By Simran Investment Group | F1, F2 |
| transaction | RCKT | Common Stock | Award | $0 | +19.4K | +4.91% | $0.00 | 415K | Jun 18, 2025 | By Simran Investment Group | F1, F2, F3 |
| holding | RCKT | Common Stock | 622K | Jun 18, 2025 | By Non-Revocable Trust | F4 |
| Id | Content |
|---|---|
| F1 | Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026. |
| F2 | Represents RSUs issued to the Reporting Person in lieu of director retainer fees of $55,000. The RSUs will vest in full on June 18, 2026. |
| F3 | The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein. |
| F4 | The securities may be deemed to be beneficially owned by the reporting person and are held by a non-revocable trust for the benefit of the reporting person's children. The reporting person has no voting or investment power over all securities owned by the trust. |