Rocket Pharmaceuticals Files 8-K on Corporate Matters

TL;DR

Rocket Pharma filed an 8-K on June 13th covering corporate changes and shareholder votes.

AI Summary

Rocket Pharmaceuticals, Inc. filed an 8-K on June 20, 2024, reporting events that occurred on June 13, 2024. The filing indicates a change in the company's fiscal year and submission of matters to a vote of security holders, along with financial statements and exhibits. The company, formerly known as Inotek Pharmaceuticals Corp, is incorporated in Delaware and headquartered in New York.

Why It Matters

This 8-K filing signals important corporate governance and financial reporting updates for Rocket Pharmaceuticals, Inc., which could impact investor understanding of the company's structure and performance.

Risk Assessment

Risk Level: low — This filing is a routine corporate disclosure and does not appear to contain significant negative news or market-moving events.

Key Players & Entities

• Rocket Pharmaceuticals, Inc. (company) — Registrant
• Inotek Pharmaceuticals Corp (company) — Former company name
• June 13, 2024 (date) — Date of earliest event reported
• June 20, 2024 (date) — Date of report
• Delaware (jurisdiction) — State of incorporation
• New York (location) — Principal executive offices city

FAQ

Key Financial Figures

• $0.01 — nge on which registered Common stock, $0.01 par value RCKT The Nasdaq Global Ma

Filing Documents

• ef20031374_8k.htm (8-K) — 52KB
• ef20031374_ex3-1.htm (EX-3.1) — 7KB
• 0001140361-24-030718.txt ( ) — 199KB
• rckt-20240613.xsd (EX-101.SCH) — 4KB
• rckt-20240613_lab.xml (EX-101.LAB) — 22KB
• rckt-20240613_pre.xml (EX-101.PRE) — 16KB
• ef20031374_8k_htm.xml (XML) — 4KB

03

Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. The 2024 Annual Meeting of Stockholders of Rocket Pharmaceuticals, Inc. (the " Company ") was held on June 13, 2024 (the " Annual Meeting "). At the Annual Meeting, the Company's stockholders approved and adopted an Amendment to the Company's Seventh Amended and Restated Certificate of Incorporation to increase the authorized number of shares of common stock from 120,000,000 shares to 180,000,000 shares (the " Charter Amendment "). Following such approval, the Charter Amendment was filed with the Secretary of State of the State of Delaware and became effective on June 20, 2024. This description is a summary of the Charter Amendment and is qualified in its entirety by reference to the description of the Charter Amendment under the heading "Proposal 4 – Approval of Increase in Number of Authorized Shares of Common Stock" set forth in the Company's Proxy Statement for the Annual Meeting filed with the Securities and Exchange Commission on April 29, 2024 (the " 2024 Proxy Statement ") , and the full text of the Charter Amendment, a copy of which is filed as Exhibit 3.1 to this Current Report on Form 8-K and incorporated by reference herein .

07

Item 5.07. Submission of Matters to a Vote of Security Holders. At the Annual Meeting, there were present, in person or by proxy, holders of 79,809,770 shares of common stock, or approximately 87.95% of the total outstanding shares eligible to be voted. The holders present voted on the four proposals presented at the Annual Meeting as follows. Proposal One - Election of Directors The Company's stockholders approved the election of ten directors to the Company's Board of Directors ("Board") by the following votes: Nominee Votes For Votes Withheld Broker Non-Votes Elisabeth Bjrk, M.D., Ph.D. 67,603,904 4,348,329 7,857,537 Carsten Boess 71,383,452 568,781 7,857,537 Pedro Granadillo 51,458,742 20,493,491 7,857,537 Gotham Makker, M.D. 71,537,718 414,515 7,857,537 Fady Malik, M.D., Ph.D. 71,706,448 245,785 7,857,537 Gaurav Shah, M.D. 71,555,239 396,994 7,857,537 David P. Southwell 71,650,603 301,630 7,857,537 Roderick Wong, M.D. 71,278,861 673,372 7,857,537 R. Keith Woods 69,222,478 2,729,755 7,857,537 Naveen Yalamanchi, M.D. 63,231,665 8,720,568 7,857,537 Proposal Two - Ratification of Appointment of Independent Registered Accounting Firm The Company's stockholders ratified the appointment of EisnerAmper LLP as the Company's independent registered accounting firm for the Votes For Votes Against Abstentions 79,704,801 88,793 16,176 Proposal Three - Non-Binding Advisory Vote on the Compensation of the Company's Named Executive Officers The Company's stockholders approved, on a non-binding, advisory basis, the compensation of the Company's named executive officers, as disclosed in the 2024 Proxy Statement pursuant to Section 14A of the Exchange Act, including the Compensation Discussion and Analysis, the Summary Compensation Table, and the narrative disclosures that accompany the compensation tables. The final votes were: Votes For Votes Against Abst

Financial Statements and Exhibits

Financial Statements and Exhibits. (d) Exhibits. Exhibit No. Description 3.1 Certificate of Amendment to the Company's Seventh Amended and Restated Certificate of Incorporation, effective June 20, 2024 104 Cover Page Interactive Data File (embedded within the Inline XBRL document).

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Rocket Pharmaceuticals, Inc. Date: June 20, 2024 By: /s/ Gaurav Shah, MD Gaurav Shah, MD Chief Executive Officer and Director

View Full Filing

View this 8-K filing on SEC EDGAR