<SEC-DOCUMENT>0001140361-22-023146.txt : 20220615
<SEC-HEADER>0001140361-22-023146.hdr.sgml : 20220615
<ACCEPTANCE-DATETIME>20220615210712
ACCESSION NUMBER:		0001140361-22-023146
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20220613
FILED AS OF DATE:		20220615
DATE AS OF CHANGE:		20220615

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:		221019213

	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>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
<FILENAME>form4.xml
<DESCRIPTION>FORM 4
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2022-06-13</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>9 CEDARBROOK DRIVE</rptOwnerStreet2>
            <rptOwnerCity>CRANBURY</rptOwnerCity>
            <rptOwnerState>NJ</rptOwnerState>
            <rptOwnerZipCode>08512</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>true</isDirector>
        </reportingOwnerRelationship>
    </reportingOwner>

    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Stock Option (Right to Buy)</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>10.77</value>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2022-06-13</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>47745</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F1"/>
            </exerciseDate>
            <expirationDate>
                <value>2032-06-13</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>47745</value>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>47745</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.</footnote>
    </footnotes>

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

    <ownerSignature>
        <signatureName>/s/ Martin Wilson, as attorney-in-fact</signatureName>
        <signatureDate>2022-06-15</signatureDate>
    </ownerSignature>
</ownershipDocument>
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<DOCUMENT>
<TYPE>EX-24
<SEQUENCE>2
<FILENAME>brhc10038817_ex24.htm
<DESCRIPTION>EXHIBIT 24
<TEXT>
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      <div style="text-align: right; font-weight: bold;">Exhibit 24</div>
      <div><br>
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      <div style="text-align: center; color: rgb(0, 0, 0); font-weight: bold;">LIMITED POWER OF ATTORNEY</div>
      <div style="text-align: justify; text-indent: 36pt; font-family: 'Times New Roman', Times, serif;"><font style="font-family: 'Times New Roman'; color: rgb(0, 0, 0);"> <br>
        </font></div>
      <div style="text-align: justify; text-indent: 36pt; font-family: 'Times New Roman', Times, serif;"><font style="font-family: 'Times New Roman'; color: rgb(0, 0, 0);">The undersigned hereby constitutes and
          appoints each of Gaurav Shah, Martin Wilson and John Militello</font><font style="font-family: 'Times New Roman';">,<font style="color: rgb(0, 0, 0);"> signing singly, and with full power of substitution, the
            undersigned&#8217;s true and lawful attorney-in-fact to:</font></font></div>
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      <div style="text-align: justify;">&#160;&#160;&#160;&#160;&#160; &#160;&#160; &#160;&#160; <font style="color: rgb(0, 0, 0);"><font style="color: rgb(0, 0, 0);">(1)</font>&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;execute for and on behalf of the undersigned, in the
          undersigned&#8217;s capacity as an officer and/or director of Rocket Pharmaceuticals, Inc. (the &#8220;Company&#8221;), from time to time the following U.S. Securities and Exchange Commission (&#8220;SEC&#8221;) forms: (i) Form ID, including any attached documents (such as
          Update Passphrase Authentication), to effect the assignment of codes to the undersigned to be used in the transmission of information to the SEC using the EDGAR System; (ii) Form 3, Initial Statement of Beneficial Ownership of Securities,
          including any attached documents; (iii) Form 4, Statement of Changes in Beneficial Ownership of Securities, including any attached documents; (iv) Form 5, Annual Statement of Beneficial Ownership of Securities in accordance with Section 16(a) of
          the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any attached documents; (v) Schedules 13D and 13G; and (vi) amendments of each thereof, in accordance with the Securities Exchange Act of 1934, as amended, and
          the rules thereunder, including any attached documents;</font></div>
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      <div style="text-align: justify; text-indent: 36pt;"><font style="color: rgb(0, 0, 0);">(2)</font>&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; <font style="color: rgb(0, 0, 0);">do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Form 3, 4 or 5, Schedule 13D or 13G, or any amendment(s) thereto and timely
            file such form(s) with the SEC and any securities exchange, national association or similar authority; and</font></div>
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      <div style="text-align: justify; text-indent: 36pt;"><font style="color: rgb(0, 0, 0);">(3)</font>&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; <font style="color: rgb(0, 0, 0);">take any other action of any type whatsoever in connection with the foregoing that, 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 conditions as such attorney-in-fact may approve in such
            attorney-in-fact&#8217;s discretion.</font></div>
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      <div style="text-align: justify; text-indent: 36pt; color: rgb(0, 0, 0);">The undersigned hereby grants to each such attorney-in-fact, acting singly, 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&#8217;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 acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned&#8217;s
        responsibilities to comply with Section 16 or Regulation 13D-G of the Securities Exchange Act of 1934, as amended.&#160; The undersigned hereby agrees to indemnify the attorneys-in-fact and the Company from and against any demand, damage, loss, cost or
        expense arising from any false or misleading information provided by the undersigned to the attorneys-in-fact.</div>
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      </div>
      <div style="text-align: justify; text-indent: 36pt; color: rgb(0, 0, 0);">This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file such
        forms with respect to the undersigned&#8217;s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.&#160; This Power of Attorney supersedes
        any prior power of attorney in connection with the undersigned&#8217;s capacity as an officer and/or director of the Company.&#160; This Power of Attorney shall expire as to any individual attorney-in-fact if such attorney-in-fact ceases to be an employee of
        the Company.</div>
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      <div style="text-align: justify; text-indent: 36pt; color: rgb(0, 0, 0);">IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of</div>
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      <div style="text-align: justify; color: rgb(0, 0, 0);">June 15, 2022.</div>
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              <div style="color: rgb(0, 0, 0);">/s/ David Southwell</div>
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              <div style="color: rgb(0, 0, 0);">David Southwell</div>
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