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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Rocket Pharmaceuticals, Inc. - Equity Warrant
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 Rocket Pharmaceuticals, Inc. |
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| August 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 Rocket Pharmaceuticals, Inc. |
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| August 20, 2025 |
Exhibit 99.1 Rocket Pharmaceuticals Announces FDA Has Lifted the Clinical Hold on the Pivotal Phase 2 Trial of RP-A501 for the Treatment of Danon Disease CRANBURY, NJ – August 20, 2025 – Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a fully integrated, late-stage biotechnology company advancing a sustainable pipeline of genetic therapies for rare disorders with high unmet need, today announced that |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2025 Rocket Pharmaceuticals, Inc. |
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| August 7, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Roc |
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| August 7, 2025 |
Rocket Pharmaceuticals Reports Second Quarter 2025 Financial Results and Highlights Recent Progress Exhibit 99.1 Rocket Pharmaceuticals Reports Second Quarter 2025 Financial Results and Highlights Recent Progress Prioritizing development of RP-A501 (Danon disease), RP-A601 (PKP2-ACM), and RP-A701 (BAG3-DCM) to advance AAV cardiovascular gene therapy platform for sustained value creation FDA RMAT designation awarded to RP-A601 for PKP2-ACM; Engaging with FDA on pivotal trial design following enco |
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| August 7, 2025 |
Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT Company: Executive: Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is between Rocket Pharmaceuticals, Inc., a Delaware corporation (the “Company”) and Chris Stevens (“Executive”), and is dated as of July 7, 2025 (the “Effective Date”). Each of the Company and Executive are sometimes referred to in this Agreement individually as a “Party” and together as the “Parties |
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| July 24, 2025 |
Exhibit 99.1 Rocket Pharmaceuticals Announces Strategic Corporate Reorganization and Pipeline Prioritization of Cardiovascular Programs Restructuring pipeline to focus on AAV cardiovascular platform (Danon disease, PKP2-ACM, BAG3-DCM) and regulatory activities for KRESLADITM (severe LAD-I), setting foundation for near- and long-term value creation Organizational restructuring expected to reduce he |
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| July 24, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2025 Rocket Pharmaceuticals, Inc. |
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| July 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 23, 2025 Rocket Pharmaceuticals, Inc. |
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| July 17, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2025 Rocket Pharmaceuticals, Inc. |
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| July 17, 2025 |
Exhibit 99.1 Rocket Pharmaceuticals Receives FDA Regenerative Medicine Advanced Therapy (RMAT) Designation for RP-A601 Gene Therapy for PKP2-Arrhythmogenic Cardiomyopathy CRANBURY, NJ – July 17, 2025 – Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a fully integrated, late-stage biotechnology company advancing a sustainable pipeline of genetic therapies for rare disorders with high unmet need, today |
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| July 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2025 Rocket Pharmaceuticals, Inc. |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 18, 2025 Rocket Pharmaceuticals, Inc. |
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| May 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2025 Rocket Pharmaceuticals, Inc. |
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| May 27, 2025 |
Rocket Pharmaceuticals Provides Update on Phase 2 Clinical Trial of RP-A501 for Danon Disease Exhibit 99.1 Rocket Pharmaceuticals Provides Update on Phase 2 Clinical Trial of RP-A501 for Danon Disease Conference call to be held later today at 8:30 a.m. ET CRANBURY, NJ – May 27, 2025 – Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a fully integrated, late-stage biotechnology company advancing an integrated pipeline of genetic therapies for rare diseases, today announced an update related to |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 Rocket Pharmaceuticals, Inc. |
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| May 15, 2025 |
Exhibit 99.2 Rocket Pharmaceuticals Presents Preliminary Data from Phase 1 Clinical Trial of RP-A601 for PKP2 Arrhythmogenic Cardiomyopathy at 28th Annual Meeting of the American Society of Gene and Cell Therapy RP-A601 was generally well-tolerated at a dose of 8.0E13 GC/kg with no dose-limiting toxicities in all three patients with up to 12 months follow-up RP-A601 promoted increased protein expr |
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| May 15, 2025 |
Exhibit 99.1 NVESTOR DE I CK INVESTOR DECK INVESTOR DECK Preliminary Data from Phase 1 Trial of RP-A601 May 2025 ©2025 Rocket Pharmaceuticals, Ltd. All rights reserved FORWARD LOOKING STATEMENT AND DISCLOSURES Various statements in this presentation concerning Rocket’s future expectations, plans and prospects that involve risks and uncertainties, as well as assumptions that, if they do not materia |
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| May 8, 2025 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is between Rocket Pharmaceuticals, Inc. a Delaware corporation (the “Company”) and Sarbani Chaudhuri (“Executive”) and is dated as of April 7, 2025 (the “Effective Date”). Each of the Company and Executive are sometimes referred to in this Agreement individually as a “Party” and together as the “Part |
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| May 8, 2025 |
Rocket Pharmaceuticals Reports First Quarter 2025 Financial Results and Highlights Recent Progress Exhibit 99.1 Rocket Pharmaceuticals Reports First Quarter 2025 Financial Results and Highlights Recent Progress Phase 2 pivotal study of RP-A501 for Danon disease is ongoing; Program update expected mid-year 2025 Initial data from the Phase 1 study of RP-A601 for PKP2-ACM anticipated May 2025 IND submission for BAG3-DCM program expected mid-year 2025 Sarbani Chaudhuri appointed Chief Commercial & |
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| May 8, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Ro |
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| May 8, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 Rocket Pharmaceuticals, Inc. |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a |
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| April 30, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commi |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2025 Rocket Pharmaceuticals, Inc. |
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| April 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2025 Rocket Pharmaceuticals, Inc. |
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| March 3, 2025 |
As filed with the Securities and Exchange Commission on March 3, 2025 As filed with the Securities and Exchange Commission on March 3, 2025 Registration No. |
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| March 3, 2025 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Rocket Pharmaceuticals, Inc. |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceuticals, Inc. |
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| February 27, 2025 |
Exhibit 10.24 ROCKET PHARMACEUTICALS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY (Effective as of September 26, 2024) Rocket Pharmaceuticals, Inc. (the “Company”) believes that compensation of the members of the Company’s board of directors (the “Board,” and any committee thereof, a “Committee”), including equity compensation, represents a powerful tool to attract, retain and reward members of |
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| February 27, 2025 |
Note that other types of information may also be material; no complete list can be given. Exhibit 19 1 Purpose This Policy is designed to prevent insider trading or allegations of insider trading and to protect the Company’s reputation for integrity and ethical conduct. |
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| February 27, 2025 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Fourth Quarter and Full Year 2024 Financial Results and Highlights Recent Progress Dosing ongoing in the Phase 2 pivotal study of RP-A501 for Danon disease; Program update expected in the first half of 2025 New England Journal of Medicine publication of Phase 1 study of RP-A501 to treat patients with Danon disease Long-term data from the Phase 1 trial of |
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| February 27, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2025 Rocket Pharmaceuticals, Inc. |
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| February 27, 2025 |
Exhibit 21.1 Subsidiary Jurisdiction of Incorporation Rocket Ownership 1. Rocket Pharmaceuticals, Ltd. Cayman Islands 100% 2. Rocket Foundation, Inc. Delaware 100% 3. Spacecraft Seven, LLC Delaware 100% 4. Zebrafish Merger Sub II, LLC Delaware 100% 5. Rocket Pharmaceuticals Incorporated NJ 100% 6. Rocket Pharmaceuticals, B.V. Netherlands 100% 7. Rocket Pharmaceuticals, GmbH Switzerland 100% 8. Roc |
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| February 10, 2025 |
JOINT FILING AGREEMENT The undersigned hereby agree that this Schedule 13G (the “Schedule 13G”) with respect to the common stock of Rocket Pharmaceuticals, Inc. |
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| January 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2025 Rocket Pharmaceuticals, Inc. |
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| December 16, 2024 |
RCKT / Rocket Pharmaceuticals, Inc. / RTW INVESTMENTS, LP - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 11) Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 77313F106 ( |
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| December 12, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form 424(b)(5) (Form Type) Rocket Pharmaceuticals, Inc. |
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| December 12, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2024 Rocket Pharmaceuticals, Inc. |
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| December 12, 2024 |
Rocket Pharmaceuticals, Inc. 13,200,000 Shares of Common Stock TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-281606 PROSPECTUS SUPPLEMENT (To Prospectus dated August 16, 2024) Rocket Pharmaceuticals, Inc. 13,200,000 Shares of Common Stock We are offering 13,200,000 of shares of our common stock, par value $0.01 per share. Our shares trade on the Nasdaq Global Market under the symbol “RCKT.” On December 10, 2024, the last sale price |
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| December 12, 2024 |
Rocket Pharmaceuticals, Inc. 13,200,000 Shares of Common Stock UNDERWRITING AGREEMENT Exhibit 1.1 Execution Version Rocket Pharmaceuticals, Inc. 13,200,000 Shares of Common Stock UNDERWRITING AGREEMENT December 10, 2024 MORGAN STANLEY & CO. LLC LEERINK PARTNERS LLC CANTOR FITZGERALD & CO. As Representatives of the several Underwriters c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Leerink Partners LLC 1301 Avenue of the Americas, 5th Floor New York, New Yor |
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| December 10, 2024 |
Subject to Completion Preliminary Prospectus Supplement dated December 10, 2024 TABLE OF CONTENTS The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. |
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| December 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 2, 2024 Rocket Pharmaceuticals, Inc. |
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| November 18, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2024 Rocket Pharmaceuticals, Inc. |
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| November 18, 2024 |
Exhibit 99.1 |
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| November 8, 2024 |
SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77313F106 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropri |
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| November 8, 2024 |
EX-99 2 Rule13DJointFilingAgreement.htm JOINT FILING AGREEMENT JOINT FILING AGREEMENT The undersigned hereby agree that this Schedule 13G (the “Schedule 13G”) with respect to the common stock of Rocket Pharmaceuticals, Inc. is, and any additional amendment thereto signed by each of the undersigned shall be, filed on behalf of each undersigned pursuant to and in accordance with the provisions of 13 |
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| November 7, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Third Quarter 2024 Financial Results and Highlights Recent Progress Enrollment completed in September and dosing ongoing in the Phase 2 pivotal study of RP-A501 for Danon disease Updated Phase 1 data from RP-A501 for Danon disease anticipated at American Heart Association’s 2024 Late-Breaking Scientific Sessions Enrollment completed in low dose cohort of |
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| November 7, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 Rocket Pharmaceuticals, Inc. |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3682 |
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| September 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2024 Rocket Pharmaceuticals, Inc. |
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| August 16, 2024 |
Table 1: Newly Registered and Carry Forward Securities Calculation of Filing Fee Tables S-3 ROCKET PHARMACEUTICALS, INC. Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effect |
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| August 16, 2024 |
ROCKET PHARMACEUTICALS, INC., Dated as of [●], 202[●] Senior Debt Securities TABLE OF CONTENTS1 Exhibit 4.4 ROCKET PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 202[●] Senior Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities and Trustee’s Certi |
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| August 16, 2024 |
As filed with the Securities and Exchange Commission on August 16, 2024. TABLE OF CONTENTS As filed with the Securities and Exchange Commission on August 16, 2024. |
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| August 16, 2024 |
Exhibit 4.5 ROCKET PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 202[●] Subordinated Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS 90 Section 1.01 Definitions of Terms 90 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 93 Section 2.01 Designation and Terms of Securities 93 Section 2.02 Form of Securities and Trust |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Roc |
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| August 5, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Second Quarter 2024 Financial Results and Highlights Recent Progress Enrollment of patients ongoing in the pivotal Phase 2 study of RP-A501 for the treatment of Danon disease and the Phase 1 study of RP-A601 to treat PKP2 arrhythmogenic cardiomyopathy Working toward FDA-approval of KRESLADI for severe LAD-I; Commercial infrastructure and capabilities in |
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| August 5, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2024 Rocket Pharmaceuticals, Inc. |
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| June 28, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2024 Rocket Pharmaceuticals, Inc. |
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| June 28, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Provides Regulatory Update on KRESLADITM (marnetegragene autotemcel; marne-cel) CRANBURY, N.J. – June 28, 2024 – Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a fully integrated, late-stage biotechnology company advancing a sustainable pipeline of genetic therapies for rare disorders with high unmet needs, today announced a regulatory update for KRESLADI™ (marnet |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 13, 2024 Rocket Pharmaceuticals, Inc. |
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| June 20, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF SEVENTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ROCKET PHARMACEUTICALS, INC. PURSUANT TO SECTION 242 OF THE GENERAL CORPORATION LAW OF THE STATE OF DELAWARE Rocket Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), hereby certifies as follows: The Board of Directors of the Corporation (the “Board of Directors”), pursuant to Secti |
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| May 7, 2024 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is between Rocket Pharmaceuticals, Inc. a Delaware corporation (the “Company”) and Aaron Ondrey (“Executive”) and is dated as of March 25, 2024 (the “Effective Date”). Each of the Company and Executive are sometimes referred to in this Agreement individually as a “Party” and together as the “Parties. |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Ro |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2024 Rocket Pharmaceuticals, Inc. |
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| May 6, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Reports First Quarter 2024 Financial Results and Highlights Recent Progress Advanced RP-L102 for Fanconi Anemia towards regulatory reviews; EMA accepted MAA for review and BLA submission anticipated in the first half of 2024 Continued preparations to launch LV portfolio beginning with KRESLADI™ (marnetegragene autotemcel) for severe LAD-I; PDUFA date of June 30, |
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| April 29, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a |
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| April 17, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77313F106 (CUSIP Number) March 29, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| March 29, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Announces Appointment of Aaron Ondrey as Chief Financial Officer and Additional Updates to Corporate Leadership Team Aaron Ondrey joins as Chief Financial Officer bringing seasoned leadership experience in financial management, strategic planning, commercial finance, and capital allocation Additional key appointments within existing corporate leadership team exp |
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| March 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2024 Rocket Pharmaceuticals, Inc. |
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| February 27, 2024 |
Exhibit 21.1 Subsidiary Jurisdiction of Incorporation Rocket Ownership 1. Rocket Pharmaceuticals, Ltd. Cayman Islands 100% 2. Rocket Foundation, Inc. Delaware 100% 3. Spacecraft Seven, LLC Delaware 100% 4. Zebrafish Merger Sub II, LLC Delaware 100% 5. Rocket Pharmaceutical, Inc. NJ 100% 6. Rocket Pharmaceuticals, B.V. Netherlands 100% 7. Rocket Pharmaceuticals, GmbH Switzerland 100% 8. Rocket Phar |
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| February 27, 2024 |
PROPRIETARY INFORMATION, INVENTIONS AND NON-SOLICITATION/NON-COMPETITION AGREEMENT Exhibit 10.13 PROPRIETARY INFORMATION, INVENTIONS AND NON-SOLICITATION/NON-COMPETITION AGREEMENT In consideration of my employment or continued employment by Rocket Pharmaceuticals, Inc., a Delaware corporation (the “Company”), on behalf of its subsidiaries, parents, affiliates, predecessors, successors and assigns (together, with the Company, the “Company Group”) and the compensation now and here |
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| February 27, 2024 |
Exhibit 10.23 ROCKET PHARMACEUTICALS, INC. GENERAL COMPENSATION CLAWBACK POLICY AMENDED AND RESTATED EFFECTIVE SEPTEMBER 25, 2023 Overview, Purpose and Scope All applicable compensation provided by Rocket Pharmaceuticals, Inc. and its subsidiaries and affiliates (the “Company”) to employees is provided subject to all applicable laws and regulations providing for the forfeiture, disgorgement, recou |
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| February 27, 2024 |
Exhibit 97 ROCKET PHARMACEUTICALS, INC. NASDAQ RULE 5608 COMPENSATION CLAWBACK POLICY APPLICABLE TO EXECUTIVE OFFICERS EFFECTIVE SEPTEMBER 25, 2023 1. Policy Purpose. The purpose of this Rocket Pharmaceuticals, Inc. Nasdaq Rule 5608 Compensation Clawback Policy Applicable to Executive Officers (this “Policy”) is to enable Rocket Pharmaceuticals, Inc. (the “Company”) to recover Erroneously Awarded |
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| February 27, 2024 |
f UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K f UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceuticals, Inc. |
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| February 26, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2024 Rocket Pharmaceuticals, Inc. |
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| February 26, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Fourth Quarter and Full Year 2023 Financial Results and Highlights Recent Progress Advancing leading pipeline of six disclosed programs across AAV cardiovascular and LV hematology portfolios; all milestones remain on track for 2024 Expanding commercial capabilities to support launch of LV portfolio beginning with KRESLADITM (marnetegragene autotemcel) fo |
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| February 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 Rocket Pharmaceuticals, Inc. |
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| February 13, 2024 |
Exhibit 99.1 Rocket Pharmaceuticals Announces Update on FDA Review Timeline of KRESLADITM (marnetegragene autotemcel) for the Treatment of Severe Leukocyte Adhesion Deficiency-I (LAD-I) New Prescription Drug User Fee Act (PDUFA) date of June 30, 2024 CRANBURY, N.J. – Feb. 13, 2024 – Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a fully integrated, late-stage biotechnology company advancing a sustai |
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| February 13, 2024 |
RCKT / Rocket Pharmaceuticals, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Rocket Pharmaceuticals Inc Title of Class of Securities: Common Stock CUSIP Number: 77313F106 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| February 8, 2024 |
SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77313F106 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| December 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2023 Rocket Pharmaceuticals, Inc. |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3682 |
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| October 2, 2023 |
Exhibit 99.1 Rocket Pharmaceuticals Announces FDA Acceptance of Biologics License Application with Priority Review for RP-L201 (marnetegragene autotemcel) for the Treatment of Severe Leukocyte Adhesion Deficiency-I (LAD-I) Prescription Drug User Fee Act (PDUFA) target action date is March 31, 2024 RP-L201 has received FDA Regenerative Medicine Advanced Therapy (RMAT), Rare Pediatric, Fast Track an |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2023 Rocket Pharmaceuticals, Inc. |
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| September 20, 2023 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-253756 SUPPLEMENT NO.1 TO PROSPECTUS SUPPLEMENT DATED FEBRUARY 28, 2022 (To Prospectus dated September 10, 2021) Rocket Pharmaceuticals, Inc. This Supplement No. 1 to Prospectus Supplement (this “Supplement”) supplements and amends the Prospectus Supplement dated February 28, 2022 (the “Prospectus Supplement”). This Supplement should be read |
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| September 19, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 10) Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 77313F106 (CUSIP Numb |
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| September 15, 2023 |
ROCKET PHARMACEUTICALS, INC. PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK Exhibit 4.1 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS. SUCH SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT PURPOSES AND MAY NOT BE OFFERED FOR SALE, SOLD, DELIVERED AFTER SALE, TRANSFERRED, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FILED BY |
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| September 15, 2023 |
Exhibit 1.1 Execution Version Rocket Pharmaceuticals, Inc. 7,812,500 Shares of Common Stock Pre-Funded Warrants to Purchase 3,126,955 Shares of Common Stock UNDERWRITING AGREEMENT September 12, 2023 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC LEERINK PARTNERS LLC COWEN AND COMPANY, LLC As Representatives of the several Underwriters c/o J.P. Morgan Securities LLC 383 Madison Avenue New York |
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| September 15, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 Rocket Pharmaceuticals, Inc. |
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| September 13, 2023 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-253756 PROSPECTUS SUPPLEMENT (To Prospectus dated September 10, 2021) Rocket Pharmaceuticals, Inc. 7,812,500 Shares of Common Stock Pre-Funded Warrants to Purchase 3,126,955 Shares of Common Stock We are offering 7,812,500 shares of our common stock and, to certain investors, pre-funded warrants to purchase 3,126,955 shares |
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| September 13, 2023 |
Exhibit 1.1 ROCKET PHARMACEUTICALS, INC. COMMON STOCK AMENDMENT NO. 1 TO SALES AGREEMENT September 12, 2023 Amendment No.1 to Sales Agreement Reference is made to the Sales Agreement, dated February 28, 2022 (the “Agreement”), by and between Rocket Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Cowen and Company, LLC (“Cowen”). The Company and Cowen (together, the “Parties”) wi |
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| September 13, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 Rocket Pharmaceuticals, Inc. |
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| September 12, 2023 |
Exhibit 99.2 Rocket Pharmaceuticals Reaches FDA Alignment on Pivotal Phase 2 Trial Design in RP-A501 in Danon Disease Final alignment reached on a single arm, open-label study with natural history comparator and a biomarker based co-primary endpoint consisting of LAMP2 protein expression and Left Ventricular (LV) Mass 12 patient study with primary endpoint assessment at 12 months to support accele |
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| September 12, 2023 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-253756 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. A registration statement has been filed with the Securities and Exchange Commission and is effective. This preliminary prospectus supplement and the accompanying prospectus are not an offer to se |
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| September 12, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 Rocket Pharmaceuticals, Inc. |
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| September 12, 2023 |
Exhibit 99.1 S E E K I N G G E N E T H E R A P Y C U R E S Rocket Pharmaceuticals Danon Disease Program Update September 11, 2023 1 CONFIDENTIAL AND PROPRIETARY Disclaimer 1 CONFIDENTIAL AND PROPRIETARY Various statements in this presentation concerning Rocket's future expectations, plans and prospects, including without limitation, Rocket’s expectations regarding the safety and effectiveness of p |
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| August 9, 2023 |
SEVERANCE AND CHANGE IN CONTROL PROGRAM Exhibit 10.1 SEVERANCE AND CHANGE IN CONTROL PROGRAM I. Purpose and Scope The purposes of the Rocket Pharmaceuticals, Inc. (“Rocket” or the “Company”) Severance and Change in Control Program (the “Program”) are to provide management guidance for: • Making severance benefits available to certain eligible employees to financially assist with their transition following certain qualifying terminations |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceutical |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 Rocket Pharmaceuticals, Inc. |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceutica |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a |
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| April 28, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 5, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 9) Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 77313F106 (CUSIP Numbe |
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| April 5, 2023 |
As filed with the Securities and Exchange Commission on April 5, 2023 As filed with the Securities and Exchange Commission on April 5, 2023 Registration No. |
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| April 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2023 ROCKET PHARMACEUTICALS, INC. |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 Rocket Pharmaceuticals, Inc. |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceuticals, Inc. |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2023 Rocket Pharmaceuticals, Inc. |
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| February 27, 2023 |
Rocket Pharmaceuticals Reports Fourth Quarter and Full Year 2022 Financial and Operational Results Advanced pipeline of four clinical programs across AAV cardiology and LV hematology portfolios delivering strong results for Danon Disease, Fanconi Anemia, LAD-I and PKD Expanded leadership position in AAV cardiac gene therapy, with significant opportunities for value creation across Danon Disease, PKP2-ACM and BAG3-DCM programs Established in-house cGMP manufacturing for AAV, poised to support Danon pivotal trial in Q2’23 and subsequent commercialization Cash, cash equivalents and investments of approximately $400M; expected operational runway through 2024 CRANBURY, N. |
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| February 24, 2023 |
ASSIGNMENT, ASSUMPTION AND AMENDED & RESTATED WARRANT AGREEMENT Exhibit 4.3 Execution Version ASSIGNMENT, ASSUMPTION AND AMENDED & RESTATED WARRANT AGREEMENT THIS ASSIGNMENT, ASSUMPTION AND AMENDED & RESTATED WARRANT AGREEMENT (this “Agreement”), dated January 16, 2023 and effective as of December 1, 2022 (the “Effective Date”), is by and among Rocket Pharmaceuticals, Inc., a Delaware corporation (the “Company”), Zebrafish Merger Sub II, LLC, a Delaware limite |
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| February 24, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Rocket Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 04-3475813 (State of Incorporation or Organization) (IRS Employer Identification Number) 9 Cedarbrook Drive, Cranbury, |
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| February 9, 2023 |
RCKT / Rocket Pharmaceuticals Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Rocket Pharmaceuticals Inc. Title of Class of Securities: Common Stock CUSIP Number: 77313F106 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 7, 2023 |
Exhibit 99.1 Rocket Pharmaceuticals Receives FDA Regenerative Medicine Advanced Therapy (RMAT) Designation for RP-A501 Gene Therapy for Danon Disease CRANBURY, N.J. – Feb. 7, 2023 – Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a leading late-stage biotechnology company advancing an integrated and sustainable pipeline of genetic therapies for rare disorders with high unmet need, today announced tha |
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| February 7, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2023 Rocket Pharmaceuticals, Inc. |
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| February 6, 2023 |
SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77313F106 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropria |
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| January 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2023 Rocket Pharmaceuticals, Inc. |
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| January 9, 2023 |
EX-99.1 2 brhc10046430ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 INVESTOR DECK INVESTOR DECK INVESTOR DECK 41st Annual J.P. Morgan Healthcare Conference Company Presentation Gaurav Shah, MD Chief Executive Officer January 9, 2023 DISCLAIMER Various statements in this presentation concerning Rocket's future expectations, plans and prospects, including without limitation, Rocket's expectations regarding i |
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| January 9, 2023 |
Exhibit 99.2 Rocket Pharmaceuticals Expands Cardiac Gene Therapy Portfolio with Addition of RP-A601 for PKP2-ACM and Announces Positive Updated Phase 1 Data for RP-A501 in Danon Disease RP-A601 for Arrhythmogenic Cardiomyopathy due to PKP2 pathogenic variants (PKP2-ACM) represents meaningful commercial opportunity with estimated prevalence of 50,000 adults and children in the U.S. and EU; IND fili |
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| December 22, 2022 |
Exhibit 99.1 Rocket Pharmaceuticals Provides Update on Anticipated Registration Path for RP-A501 in Danon Disease Following End-of-Phase 1 FDA Meeting Based on ongoing FDA discussion, Rocket to pursue a biomarker-based composite endpoint for a single arm, open-label pivotal trial with a natural history comparator Initiation of initial component of global study anticipated in 1H’23 CRANBURY, N.J. – |
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| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 Rocket Pharmaceuticals, Inc. |
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| December 20, 2022 |
As filed with the Securities and Exchange Commission on December 20, 2022 As filed with the Securities and Exchange Commission on December 20, 2022 Registration No. |
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| December 20, 2022 |
Good-Bye! (Leaving the SEC Website) This page is temporarily unavailable. Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Rocket Pharmaceuticals, Inc. |
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| December 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2022 Rocket Pharmaceuticals, Inc. |
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| December 1, 2022 |
Exhibit 99.1 Rocket Pharmaceuticals Completes Acquisition of Renovacor Acquisition further extends Rocket?s leadership in AAV-based cardiac gene therapy and expands focus and capabilities to BAG3-associated dilated cardiomyopathy CRANBURY, N.J. ? December 1, 2022 ? Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a leading late-stage biotechnology company advancing an integrated and sustainable pipeli |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceu |
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| November 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2022 Rocket Pharmaceuticals, Inc. |
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| November 3, 2022 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Third Quarter 2022 Financial Results and Highlights Recent Progress ? Positive updates from Phase 1 clinical trial in Danon Disease showed RP-A501 was well tolerated with evidence of durable treatment effect and disease improvement for both pediatric patients and adult patients with up to nine and 36 months of follow-up, respectively? ? Phase 2 pivotal s |
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| October 31, 2022 |
JOINT LETTER TO STOCKHOLDERS OF RENOVACOR, INC. AND ROCKET PHARMACEUTICALS, INC. 424B3 1 edge20005380x4424b3.htm 424B3 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-267871 JOINT LETTER TO STOCKHOLDERS OF RENOVACOR, INC. AND ROCKET PHARMACEUTICALS, INC. Dear Stockholders of Renovacor, Inc. and Rocket Pharmaceuticals, Inc.: As previously announced, on September 19, 2022, Renovacor, Inc., a Delaware corporation (“Renovacor”) and Rocket Pharmaceutical |
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| October 27, 2022 |
Calculation of Filing Fee Tables Form S-4 Exhibit 107 Calculation of Filing Fee Tables Form S-4 (Form Type) Rocket Pharmaceuticals, Inc. |
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| October 27, 2022 |
October 27, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 27, 2022 |
Exhibit 99.1 |
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| October 27, 2022 |
Exhibit 99.2 |
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| October 27, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 27, 2022 TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on October 27, 2022 Registration No. 333-267871 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Rocket Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware ? ? 001-36829 ? ? 04-347581 |
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| October 13, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 13, 2022 TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on October 13, 2022 Registration No. 333-??? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Rocket Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware ? ? 001-36829 ? ? 04-3475813 (State of Incorporat |
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| October 13, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-4 (Form Type) Rocket Pharmaceuticals, Inc. |
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| October 11, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 8) Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 77313F106 (CUSIP Numbe |
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| October 4, 2022 |
6,800,000 Shares Rocket Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENT EX-1.1 2 ny20005453x4ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 6,800,000 Shares Rocket Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENT October 3, 2022 MORGAN STANLEY & CO. LLC J.P. MORGAN SECURITIES LLC SVB SECURITIES LLC As Representatives of the several Underwriters c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o J.P. Morgan Securities LLC 383 Madison Avenue New York, N |
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| October 4, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2022 Rocket Pharmaceuticals, Inc. |
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| October 4, 2022 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-253756 PROSPECTUS SUPPLEMENT (To Prospectus dated September 10, 2021) 6,800,000 Shares ? Rocket Pharmaceuticals, Inc. Common Stock We are selling 6,800,000 shares of our common stock. Our shares trade on the Nasdaq Global Market under the symbol ?RCKT.? On October 3, 2022, the last sale price of the shares as reported on the N |
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| October 3, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2022 Rocket Pharmaceuticals, Inc. |
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| October 3, 2022 |
Subject to Completion Preliminary Prospectus Supplement dated October 3, 2022 TABLE OF CONTENTS The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. |
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| October 3, 2022 |
Exhibit 99.1 Update from Phase 1 Trial of RP-A501 Gene Therapy Treatment for Danon DiseaseSeptember 30, 2022 DISCLAIMER Various statements in this release concerning Rocket?s future expectations, plans and prospects, including without limitation, Rocket?s expectations regarding its guidance for 2022, the safety and effectiveness of RP-A501 for the potential treatment of Danon Disease, trends for R |
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| September 21, 2022 |
SC 13D/A 1 p22-2208sc13da.htm ROCKET PHARMACEUTICALS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 7) Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per |
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| September 20, 2022 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and among ROCKET PHARMACEUTICALS, INC., ZEBRAFISH MERGER SUB, INC., ZEBRAFISH MERGER SUB II, LLC, and RENOVACOR, INC. dated as of September 19, 2022 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.01. Certain Definitions 2 Section 1.02. Other Definitional Provisions 21 ARTICLE II THE MERGERS 22 Section 2.01. The Mergers 22 Sect |
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| September 20, 2022 |
Exhibit 99.1 Execution Version VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?) is made and entered into as of September , 2022, by and between Renovacor, Inc., a Delaware corporation (the ?Company?) and the undersigned stockholder (the ?Stockholder?) of Rocket Pharmaceuticals, Inc., a Delaware corporation (?Parent?). WITNESSETH: WHEREAS, contemporaneously with the execution of this Agree |
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| September 20, 2022 |
425 1 brhc10042079425.htm 425 Filed by Rocket Pharmaceuticals, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Renovacor, Inc. Commission File No.: 001-39271 Date: September 20, 2022 This filing relates to the proposed acquisition of Renovacor, Inc., a Delaware corporation (the “Company”) |
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| September 20, 2022 |
Exhibit 99.3 Rocket Pharmaceuticals to Acquire Renovacor, Extending Leadership in AAV-based Cardiac Gene Therapy ? Acquisition further strengthens Rocket?s leadership in AAV-based cardiac gene therapy and expands Company?s near-term clinical assets for the treatment of heart conditions ? Significant unmet medical need in BAG3-associated dilated cardiomyopathy, with meaningful commercial opportunit |
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| September 20, 2022 |
Exhibit 99.2 Execution Version VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?) is made and entered into as of September , 2022, by and between Rocket Pharmaceuticals, Inc., a Delaware corporation (?Parent?), and the undersigned stockholder (the ?Stockholder?) of Renovacor, Inc., a Delaware corporation (the ?Company?). WITNESSETH: WHEREAS, contemporaneously with the execution of this Agre |
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| September 20, 2022 |
Exhibit 99.2 Execution Version VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?) is made and entered into as of September , 2022, by and between Rocket Pharmaceuticals, Inc., a Delaware corporation (?Parent?), and the undersigned stockholder (the ?Stockholder?) of Renovacor, Inc., a Delaware corporation (the ?Company?). WITNESSETH: WHEREAS, contemporaneously with the execution of this Agre |
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| September 20, 2022 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and among ROCKET PHARMACEUTICALS, INC., ZEBRAFISH MERGER SUB, INC., ZEBRAFISH MERGER SUB II, LLC, and RENOVACOR, INC. dated as of September 19, 2022 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.01. Certain Definitions 2 Section 1.02. Other Definitional Provisions 21 ARTICLE II THE MERGERS 22 Section 2.01. The Mergers 22 Sect |
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| September 20, 2022 |
Exhibit 99.1 Execution Version VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?) is made and entered into as of September , 2022, by and between Renovacor, Inc., a Delaware corporation (the ?Company?) and the undersigned stockholder (the ?Stockholder?) of Rocket Pharmaceuticals, Inc., a Delaware corporation (?Parent?). WITNESSETH: WHEREAS, contemporaneously with the execution of this Agree |
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| September 20, 2022 |
425 1 brhc10042075425.htm 425 Filed by Rocket Pharmaceuticals, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Renovacor, Inc. Commission File No.: 001-39271 Date: September 20, 2022 This filing relates to the proposed acquisition of Renovacor, Inc., a Delaware corporation (the “Company”) |
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| September 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2022 Rocket Pharmaceuticals, Inc. |
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| September 20, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2022 Rocket Pharmaceuticals, Inc. |
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| September 20, 2022 |
Exhibit 99.3 Rocket Pharmaceuticals to Acquire Renovacor, Extending Leadership in AAV-based Cardiac Gene Therapy ? Acquisition further strengthens Rocket?s leadership in AAV-based cardiac gene therapy and expands Company?s near-term clinical assets for the treatment of heart conditions ? Significant unmet medical need in BAG3-associated dilated cardiomyopathy, with meaningful commercial opportunit |
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| September 9, 2022 |
INVESTOR DECK INVESTOR DECK INVESTOR DECK SEEKING GENE THERAPY CURES DISCLAIMER Various statements in this release concerning Rocket's future expectations, plans and prospects, including without limitation, Rocket's expectations regarding its guidance for 2022 in light of COVID-19, the safety, effectiveness and timing of product candidates that Rocket may develop, to treat Fanconi Anemia (FA), Leu |
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| September 9, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2022 Rocket Pharmaceuticals, Inc. |
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| August 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceutical |
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| August 8, 2022 |
Rocket Pharmaceuticals Reports Second Quarter 2022 Financial Results and Highlights Recent Progress Exhibit 99.1 Rocket Pharmaceuticals Reports Second Quarter 2022 Financial Results and Highlights Recent Progress ? Reported positive safety data at ASGCT from pediatric cohort of Phase 1 Danon Disease study that demonstrated RP-A501 was well-tolerated; efficacy update across pediatric as well as adult cohorts on track for late Q3 2022? ? Announced top-line data at ASGCT from pivotal Phase 2 trial |
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| August 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 Rocket Pharmaceuticals, Inc. |
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| June 15, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 13, 2022 Rocket Pharmaceuticals, Inc. |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceutica |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ?) Filed by the Registrant ? ????Filed by a party other than the Registrant ?? Check the appropriate box: ?? ? Preliminary Proxy Statement ?? ? Confidential, for Use of the Commission Only (as permitted by R |
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| April 29, 2022 |
TABLE OF CONTENTS ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 7, 2022 Rocket Pharmaceuticals, Inc. |
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| March 1, 2022 |
ROCKET PHARMACEUTICALS, INC. $200,000,000 SHARES COMMON STOCK SALES AGREEMENT Exhibit 10.1 ROCKET PHARMACEUTICALS, INC. $200,000,000 SHARES COMMON STOCK SALES AGREEMENT February 28, 2022 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Rocket Pharmaceuticals, Inc. (the ?Company?), confirms its agreement (this ?Agreement?) with Cowen and Company, LLC (?Cowen?), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time |
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| March 1, 2022 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-253756 PROSPECTUS SUPPLEMENT (To Prospectus Dated September 10, 2021) ? $200,000,000 Common Stock We have entered into a sales agreement, or the sales agreement, with Cowen and Company, LLC, or Cowen, relating to shares of our common stock offered by this prospectus supplement and the accompanying prospectus. In accordance wit |
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| March 1, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2022 Rocket Pharmaceuticals, Inc. |
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| February 28, 2022 |
Subsidiaries of Rocket Pharmaceuticals, Inc. Exhibit 21.1 Subsidiaries of Rocket Pharmaceuticals, Inc. Subsidiary Jurisdiction of Incorporation Rocket Ownership 1. Rocket Pharmaceuticals, Ltd. Cayman Islands 100% 2. Rocket Foundation, Inc. Delaware 100% 3. Spacecraft Seven, LLC Delaware 100% |
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| February 28, 2022 |
Exhibit 10.10 Rocket Pharmaceuticals LTD c/o CO Services Cayman Limited P.O. Box 10008 Willow House Cricket Square Grand Cayman KYI-1001 Cayman Islands September 29, 2017 Dear Raj Prabhakar: Rocket Pharmaceuticals LTD (the ?Company?) and the Company?s Board of Directors (the ?Board?) are pleased to offer you the following tem1s of employment as Senior Vice-President, Business Operations and Corpor |
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| February 28, 2022 |
Exhibit 10.12 350 Fifth Avenue, Suite 7530 New York, NY 10118 9 Cedar Brook Drive Cranbury, NJ 08512 Tel: (646) 440-9100 Fax: (646) 224-9585 April 29, 2021 Isabel Carmona Dear Isabel, Rocket Pharmaceuticals, Inc. is pleased to offer you a position as SVP, Chief Human Resources Officer starting on June 28, 2021, reporting to Gaurav Shah, CEO. This is a full-time position located at our Cranbury, NJ |
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| February 28, 2022 |
ROCKET PHARMACEUTICALS, INC. WARRANT TO PURCHASE SHARES Exhibit 10.27 THIS WARRANT AND THE SHARES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REGISTR |
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| February 28, 2022 |
ROCKET PHARMACEUTICALS, INC. WARRANT TO PURCHASE SHARES Exhibit 10.26 THIS WARRANT AND THE SHARES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REGISTR |
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| February 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceuticals, Inc. |
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| February 24, 2022 |
Rocket Pharmaceuticals Reports Fourth Quarter and Full Year 2021 Financial and Operational Results Exhibit 99.1 Rocket Pharmaceuticals Reports Fourth Quarter and Full Year 2021 Financial and Operational Results ? Positive Phase 1 data from Danon Disease gene therapy trial demonstrated sustained benefit across clinical, functional and biomarker endpoints in all four adult patients with long-term follow up; pediatric cohort data expected Q3 2022 ? ? Reported engraftment in all nine severe LAD-I p |
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| February 24, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 24, 2022 Rocket Pharmaceuticals, Inc. |
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| February 14, 2022 |
EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. |
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| February 14, 2022 |
RCKT / Rocket Pharmaceuticals Inc / TANG CAPITAL PARTNERS LP - AMENDMENT NO. 2 Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
RCKT / Rocket Pharmaceuticals Inc / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 77313F 106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| February 10, 2022 |
RCKT / Rocket Pharmaceuticals Inc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Rocket Pharmaceuticals Inc. Title of Class of Securities: Common Stock CUSIP Number: 77313F106 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1( |
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| February 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77313F106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| November 5, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A (Amendment No. |
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| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceu |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 3, 2021 Rocket Pharmaceuticals, Inc. |
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| November 4, 2021 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Third Quarter 2021 Financial Results and Highlights Recent Progress ? Treatment initiated in pediatric patient cohort in Danon Disease trial of RP-A501? ? Treatment completed in nine of nine patients in LAD-1 Phase 1/2 trial; favorable safety profile and initial clinical benefit reported in all seven patients with at least 3 months of follow up ? ? Clini |
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| October 7, 2021 |
Three Months Ended September 30, Rocket Pharmaceuticals, Inc. 9 Cedarbrook Drive Cranbury, NJ 08512 October 7, 2021 By EDGAR Submission U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Tara Harkins, Kevin Kuhar Re: Rocket Pharmaceuticals, Inc. Form 10-K for the Fiscal Year Ended December 31, 2020 Filed March 1, 2021 File No. 001-36829 D |
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| September 8, 2021 |
Rocket Pharmaceuticals 9 Cedarbrook Drive Cranbury, NJ 08512 Rocket Pharmaceuticals 9 Cedarbrook Drive Cranbury, NJ 08512 September 8, 2021 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| September 3, 2021 |
As filed with the Securities and Exchange Commission on September 3, 2021. TABLE OF CONTENTS As filed with the Securities and Exchange Commission on September 3, 2021. |
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| August 31, 2021 |
RCKT / Rocket Pharmaceuticals Inc / RTW INVESTMENTS, LP - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* ROCKET PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 77313F 106 (CUSIP Number) RTW Investments, LP Attn: Roderick Wong 40 10th Avenue, Floor 7 New York, New York 10014 Copies to: Ryan A. Murr Gibson, Dunn & Crutcher L |
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| August 30, 2021 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made as of August 27, 2021, by and between Rocket Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and the persons listed on the attached Schedule A who are signatories to this Agreement (collectively, the ?Investors?). Unless otherwise defined herein, capitalized terms used in this Ag |
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| August 30, 2021 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this ?Agreement?) is made and entered into as of August 27, 2021 (the ?Effective Date?) by and among Rocket Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and each of those persons listed as a Purchaser on the Schedule of Purchasers attached as Schedule I hereto (each, a ?Purchaser? and together, the ?Pu |
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| August 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 27, 2021 Rocket Pharmaceuticals, Inc. |
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| August 30, 2021 |
Rocket Pharmaceuticals Announces $26.4 Million Private Placement Exhibit 99.1 Rocket Pharmaceuticals Announces $26.4 Million Private Placement CRANBURY, N.J.- Aug. 30, 2021- Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT), a clinical-stage company advancing an integrated and sustainable pipeline of genetic therapies for rare childhood disorders, today announces a securities purchase agreement with a fund affiliated with RTW Investments, LP, the Company?s largest sh |
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| August 9, 2021 |
Exhibit 99.1 Rocket Pharmaceuticals Reports Second Quarter 2021 Financial Results and Highlights Recent Progress ? Working with FDA on Changes to Clinical Trial Protocol in Danon Disease Trial; Rocket Anticipates Trial Will Resume in 3Q? ? Increasing and Durable Benefit Observed in Low Dose Cohort (6.7e13 dose) in Danon Disease; Removing Higher Dose Cohort (1.1e14 dose) From Future Dosing Plans; F |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceutical |
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| August 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 9, 2021 Rocket Pharmaceuticals, Inc. |
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| June 21, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 14, 2021 Rocket Pharmaceuticals, Inc. |
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| May 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2021 Rocket Pharmaceuticals, Inc. |
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| May 10, 2021 |
As filed with the Securities and Exchange Commission on May 10, 2021. Registration No. 333-253756 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware ? ? 04-3475813 (State or other jurisdiction of incorp |
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| May 10, 2021 |
Exhibit 99.1 Rocket Pharmaceuticals Reports First Quarter 2021 Financial Results and Highlights Recent Progress ?RP-A501 Phase 1 Trial for the Treatment of Danon Disease Placed on Clinical Hold To Address FDA Request For Additional Risk Mitigation Methods in Protocol; No New Safety Events Observed; Anticipate Delay in Enrollment by One Quarter ? ?Updated Low Dose Results in RP-A501 Treatment for D |
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| May 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceutica |
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| April 30, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ?) Filed by the Registrant ? ????Filed by a party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission O |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 26, 2021 Rocket Pharmaceuticals, Inc. |
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| March 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* ROCKET PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 77313F 106 (CUSIP Number) RTW Investments, LP Attn: Roderick Wong 40 10th Avenue, Floor 7 New York, New York 10014 Copies to: Ryan A. Murr Gibson, Dunn & Crutcher L |
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| March 8, 2021 |
March 8, 2021 Filed via EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Division of Corporation Finance Re: Rocket Pharmaceuticals, Inc. |
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| March 2, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 1, 2021. |
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| March 2, 2021 |
ROCKET PHARMACEUTICALS, INC., Dated as of [●], 202[●] Senior Debt Securities TABLE OF CONTENTS1 Exhibit 4.4 ROCKET PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [?], 202[?] Senior Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities and Trustee?s Certi |
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| March 2, 2021 |
Exhibit 4.5 ROCKET PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [?], 202[?] Subordinated Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS 90 Section 1.01 Definitions of Terms 90 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 93 Section 2.01 Designation and Terms of Securities 93 Section 2.02 Form of Securities and Trust |
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| March 1, 2021 |
Exhibit 10.11 350 Fifth Avenue, Suite 7530 New York, NY 10118 9 Cedar Brook Drive Cranbury, NJ 08512 Tel: (646) 440-9100 Fax: (646) 224-9585 November 25, 2020 Carlos Garcia Parada 350 5th Avenue, Suite 7530 New York, NY 10118 Dear Carlos, Rocket Pharmaceuticals, Inc. is pleased to offer you a position as Chief Financial Officer, starting on Janaury 4, 2021, reporting to Gaurav Shah, MD, Chief Exec |
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| March 1, 2021 |
Subsidiaries of Rocket Pharmaceuticals, Inc. Exhibit 21.1 Subsidiaries of Rocket Pharmaceuticals, Inc. Subsidiary Jurisdiction of Incorporation Rocket Ownership 1. Inotek Securities Corporation Massachusetts 100% 2. Rocket Pharmaceuticals, Ltd. Cayman Islands 100% 3. Rocket Foundation, Inc. Delaware 100% 4. Spacecraft Seven, LLC Delaware 100% |
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| March 1, 2021 |
Exhibit 4.8 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED DESCRIPTION OF CAPITAL STOCK The following summary of the general terms and provisions of the registered capital stock of Rocket Pharmaceuticals, Inc. (?Rocket?, ?we?, ?our?) does not purport to be complete and is subject to, and qualified in its entirety by, |
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| March 1, 2021 |
ROCKET PHARMACEUTICALS, INC. WARRANT TO PURCHASE SHARES Exhibit 10.23 THIS WARRANT AND THE SHARES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REGISTR |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceuticals, Inc. |
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| February 16, 2021 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Rocket Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 77313F 106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| January 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* ROCKET PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 77313F 106 (CUSIP Number) RTW Investments, LP Attn: Roderick Wong 40 10th Avenue, Floor 7 New York, New York 10014 Copies to: Ryan A. Murr Gibson, Dunn & Crutcher L |
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| January 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 4, 2021 Rocket Pharmaceuticals, Inc. |
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| December 11, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 9, 2020 Rocket Pharmaceuticals, Inc. |
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| December 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of |
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| December 11, 2020 |
4,642,858 Shares Rocket Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENT Exhibit 1.1 4,642,858 Shares Rocket Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENT December 9, 2020 J.P. MORGAN SECURITIES LLC BOFA SECURITIES, INC. SVB LEERINK LLC PIPER SANDLER & CO. As Representatives of the several Underwriters c/o J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 c/o SVB Leerink |
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| December 11, 2020 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-232168 P R O S P E C T U S S U P P L E M E N T (To Prospectus dated June 24, 2019) 4,642,858 Shares Rocket Pharmaceuticals, Inc. Common Stock We are offering 4,642,858 shares of our common stock. Our shares trade on the Nasdaq Global Market under the symbol “RCKT.” On December 9, 2020, the last sale price of the shares as |
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| December 10, 2020 |
As filed with the Securities and Exchange Commission on December 9, 2020 Registration No. |
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| December 9, 2020 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-232168 The information in this prospectus supplement is not complete and may be changed. This prospectus supplement and the accompanying prospectus are not an offer to sell these securities and we are not soliciting an offer to buy these securities in any state where the offer or sale is not permitted. Subject to Completion Pr |
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| December 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Comm |
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| November 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceu |
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| August 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceutical |
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| August 5, 2020 |
ROCKET PHARMACEUTICALS, INC. CONSULTING AGREEMENT Exhibit 10.2 CONFIDENTIAL ROCKET PHARMACEUTICALS, INC. CONSULTING AGREEMENT This Consulting Agreement (this “Agreement”) is entered into as of June 16, 2020 (the “Effective Date”) between Rocket Pharmaceuticals, Inc., a Delaware corporation, with an address as set forth on the signature page below (the “Company”), and Gotham Makker, M.D., an individual with an address as set forth on the signature |
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| June 18, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Commiss |
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| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Commiss |
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| June 12, 2020 |
SUPPLEMENTAL INDENTURE TO THE SECOND SUPPLEMENTAL INDENTURE Exhibit 4.3 SUPPLEMENTAL INDENTURE TO THE SECOND SUPPLEMENTAL INDENTURE This SUPPLEMENTAL INDENTURE dated as of June 12, 2020 (this “Supplemental Indenture”), between ROCKET PHARMACEUTICALS, INC. (f/k/a Inotek Pharmaceuticals Corporation), a Delaware corporation (the “Company”), and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association, as trustee under the Indenture referred to b |
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| June 8, 2020 |
Exhibit 99.1 Rocket Pharmaceuticals Announces Private Exchange Transaction Regarding Its Outstanding Convertible Senior Notes due 2021 NEW YORK – June 8, 2020 - Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT) (“Rocket”), a clinical-stage company advancing an integrated and sustainable pipeline of genetic therapies for rare childhood disorders, today announces that on June 5, 2020 it has entered into a |
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| June 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Commissi |
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| May 29, 2020 |
Name of Registrant: Rocket Pharmaceuticals, Inc Name of persons relying on exemption: California Public Employees Retirement System (CalPERS) Address of persons relying on exemption: 400 Q Street, Sacramento, CA 95811 Written materials are submitted pursuant to Rule 14a-6(g)(1) promulgated under the Securities Exchange Act of 1934. |
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| May 8, 2020 |
Exhibit 31.2 CERTIFICATIONS I, Kamran Alam, certify that: 1. I have reviewed this quarterly report on Form 10-Q for the period ended March 31, 2020 of Rocket Pharmaceuticals, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such state |
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| May 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36829 Rocket Pharmaceutica |
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| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Commis |
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| April 24, 2020 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| April 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 22, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Commis |
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| March 6, 2020 |
Exhibit 10.6.1 ROCKET PHARMACEUTICALS, INC. SECOND AMENDED AND RESTATED 2014 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT Unless otherwise defined herein, the terms defined in the Rocket Pharmaceuticals, Inc. Second Amended and Restated 2014 Stock Option and Incentive Plan (the “Plan”) will have the same defined meanings in this Restricted Stock Unit Award Agreement (the “ |
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| March 6, 2020 |
RCKT / Rocket Pharmaceuticals, Inc. S-8 - - S-8 As filed with the Securities and Exchange Commission on March 6, 2020 Registration No. |
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| March 6, 2020 |
Subsidiaries of Rocket Pharmaceuticals, Inc. Exhibit 21.1 Subsidiaries of Rocket Pharmaceuticals, Inc. Subsidiary Jurisdiction of Incorporation Rocket Ownership 1. Inotek Securities Corporation Massachusetts 100% 2. Rocket Pharmaceuticals, Ltd. Cayman Islands 100% 3. Rocket Foundation, Inc. Delaware 100% |
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| March 6, 2020 |
Exhibit 10.10 350 Fifth Avenue, Suite 7530 New York, NY 10118 430 East 29th Street, Suite 1040 New York, NY10016 Tel: (646) 440-9100 Fax: (646) 224-9585 September 25, 2019 Dear Kamran, Rocket Pharmaceuticals, Inc. (the "Company") is pleased to offer you the following terms of employment as Senior Vice President, Finance, on a date to be agreed upon in 2019 "Start Date", reporting to the CEO & Pres |
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| March 6, 2020 |
RCKT / Rocket Pharmaceuticals, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36829 Rocket Pharmaceuticals, Inc. |
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| February 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2020 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Com |
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| February 20, 2020 |
Exhibit 4.2 EXECUTION VERSION ROCKET PHARMACEUTICALS, INC. AND WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee SECOND SUPPLEMENTAL INDENTURE Dated as of February 20, 2020 to Indenture for Senior Debt Securities Dated as of August 5, 2016 6.25% Convertible Senior Notes due 2022 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS Section 1.01 Definitions 2 Section 1.02 References to Interest 10 ARTICLE |
