<SEC-DOCUMENT>0001140361-18-044850.txt : 20181210
<SEC-HEADER>0001140361-18-044850.hdr.sgml : 20181210
<ACCEPTANCE-DATETIME>20181210170338
ACCESSION NUMBER:		0001140361-18-044850
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20181128
FILED AS OF DATE:		20181210
DATE AS OF CHANGE:		20181210

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			SOUTHWELL DAVID P
		CENTRAL INDEX KEY:			0001251553

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36829
		FILM NUMBER:		181226866

	MAIL ADDRESS:	
		STREET 1:		C/O INOTEK PHARMACEUTICALS CORPORATION
		STREET 2:		91 HARTWELL AVENUE
		CITY:			LEXINGTON
		STATE:			MA
		ZIP:			02421

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			ROCKET PHARMACEUTICALS, INC.
		CENTRAL INDEX KEY:			0001281895
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		350 FIFTH AVENUE
		STREET 2:		SUITE 7530
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10118
		BUSINESS PHONE:		646-440-9100

	MAIL ADDRESS:	
		STREET 1:		350 FIFTH AVENUE
		STREET 2:		SUITE 7530
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10118

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	INOTEK PHARMACEUTICALS CORP
		DATE OF NAME CHANGE:	20040226
</SEC-HEADER>
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<TYPE>4
<SEQUENCE>1
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<DESCRIPTION>FORM 4
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<ownershipDocument>

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    <documentType>4</documentType>

    <periodOfReport>2018-11-28</periodOfReport>

    <issuer>
        <issuerCik>0001281895</issuerCik>
        <issuerName>ROCKET PHARMACEUTICALS, INC.</issuerName>
        <issuerTradingSymbol>RCKT</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001251553</rptOwnerCik>
            <rptOwnerName>SOUTHWELL DAVID P</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O ROCKET PHARMACEUTICALS, INC.</rptOwnerStreet1>
            <rptOwnerStreet2>350 FIFTH AVENUE, SUITE 7530</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10118</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>true</isDirector>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2018-11-28</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>M</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
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            <transactionAmounts>
                <transactionShares>
                    <value>153125</value>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F1"/>
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                <transactionAcquiredDisposedCode>
                    <value>A</value>
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                <sharesOwnedFollowingTransaction>
                    <value>191660</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2018-12-06</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>S</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F2"/>
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            <transactionAmounts>
                <transactionShares>
                    <value>52809</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>15.15</value>
                    <footnoteId id="F3"/>
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                <transactionAcquiredDisposedCode>
                    <value>D</value>
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                <sharesOwnedFollowingTransaction>
                    <value>138851</value>
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                <directOrIndirectOwnership>
                    <value>D</value>
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        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
                <value>2018-12-07</value>
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            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>S</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
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            <transactionAmounts>
                <transactionShares>
                    <value>4923</value>
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                <transactionPricePerShare>
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                <transactionAcquiredDisposedCode>
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                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
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            <securityTitle>
                <value>Restricted Stock Units</value>
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            <conversionOrExercisePrice>
                <footnoteId id="F1"/>
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            <transactionDate>
                <value>2018-11-28</value>
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            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>M</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
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            <transactionAmounts>
                <transactionShares>
                    <value>65625</value>
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                <transactionPricePerShare>
                    <value>0</value>
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                <transactionAcquiredDisposedCode>
                    <value>D</value>
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            <exerciseDate>
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            <expirationDate>
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                <underlyingSecurityTitle>
                    <value>Common Stock</value>
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                <underlyingSecurityShares>
                    <value>153125</value>
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                <sharesOwnedFollowingTransaction>
                    <value>0</value>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
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        </derivativeTransaction>
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    <footnotes>
        <footnote id="F1">Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions.</footnote>
        <footnote id="F2">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.</footnote>
        <footnote id="F3">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.</footnote>
        <footnote id="F4">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.</footnote>
        <footnote id="F5">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.</footnote>
    </footnotes>

    <remarks>Exhibit 24 - Power of Attorney</remarks>

    <ownerSignature>
        <signatureName>/s/ Sara Turken, as attorney-in-fact for David P. Southwell</signatureName>
        <signatureDate>2018-12-10</signatureDate>
    </ownerSignature>
</ownershipDocument>
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<DOCUMENT>
<TYPE>EX-24
<SEQUENCE>2
<FILENAME>exhibit_24.htm
<DESCRIPTION>EXHIBIT 24
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  <div style="text-align: right; font-family: &quot;Times New Roman&quot;; font-size: 10pt; font-weight: bold;"> <a name="OLE_LINK1"><font class="zYField"><b>Exhibit 24</b></font></a></div>
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  <div style="text-align: center; font-family: 'Times New Roman'; font-size: 10pt; font-weight: bold;">POWER OF ATTORNEY</div>
  <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">May 9, 2018<font style="font-size: 10pt; font-family: 'Times New Roman';"><br>
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  <div style="text-align: left; font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin-left: 18pt; text-indent: 18pt;">Know all by these presents that the undersigned hereby constitutes and appoints Sara Turken as the undersigned's true and
    lawful attorney-in-fact to:</div>
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              <div><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;;">prepare, execute in the undersigned&#8217;s name and on the undersigned&#8217;s behalf, and submit to the U.S. Securities and Exchange Commission (the &#8220;<font style="font-size:
                    10pt; font-family: &quot;Times New Roman&quot;; font-weight: bold; font-style: italic;">SEC</font>&#8221;) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes, passwords, and passphrases
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              <div><font style="font-size: 10pt; font-family: 'Times New Roman';">execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and director of Rocket Pharmaceuticals, Inc. (the &#8220;<font style="font-size: 10pt;
                    font-family: 'Times New Roman'; font-weight: bold; font-style: italic;">Company</font>&#8221;), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;</font></div>
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              <div><font style="font-size: 10pt; font-family: 'Times New Roman';">do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and
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              <div><font style="font-size: 10pt; font-family: 'Times New Roman';">take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of,
                  or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and
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  <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;;">The undersigned hereby grants to the attorney-in-fact full power and authority to do and perform any and every act and thing
      whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or
      revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.&#160; The
      undersigned also ratifies hereby any action previously taken by the attorney-in-fact that would have been authorized by this power of attorney if it has been in effect at the time such action was taken.&#160; The undersigned acknowledges that the
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  <div style="text-align: justify; text-indent: 31.5pt;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;;">&#160; This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4,
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          <div style="text-align: left; text-indent: 0.7pt;"><font style="font-family: 'Times New Roman'; font-size: 10pt;">/s/ David Southwell</font></div>
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          <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman';">Name: David Southwell</font></div>
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