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As filed with the Securities and Exchange Commission on March 3, 2025

Registration No. 333-

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM S-8

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 incorporation or organization)
 
(I.R.S. Employer Identification No.)

Rocket Pharmaceuticals, Inc.
9 Cedarbrook Drive
Cranbury, NJ 08512
(Address of principal executive offices, including zip code)
(646) 440-9100
(Registrant’s telephone number, including area code)

Second Amended and Restated Rocket Pharmaceuticals, Inc. 2014 Stock Option and Incentive Plan
(Full title of the plan)


Gaurav Shah, MD
President and Chief Executive Officer
Rocket Pharmaceuticals, Inc.
9 Cedarbrook Drive
Cranbury, NJ 08512
(Name and address, including zip code, of agent for service)
(646) 440-9100
(Telephone number, including area code, of agent for service)


Please send copies of all communications to:

Whitney John Smith
Sean M. Jones
K&L Gates LLP
599 Lexington Avenue
New York, NY 10022
(212) 536-3930
 
Martin Wilson
General Counsel & Chief Corporate Officer
Rocket Pharmaceuticals, Inc.
9 Cedarbrook Drive
Cranbury, NJ 08512
(646) 440-9100

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer
Accelerated filer
       
Non-accelerated filer
Smaller reporting company
       
Emerging growth company
   

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐



EXPLANATORY NOTE

This Registration Statement on Form S-8 registers 11,034,376 additional shares of Common Stock under the Second Amended and Restated Rocket Pharmaceuticals, Inc. 2014 Stock Option and Incentive Plan (the “Plan”). The number of shares of Common Stock reserved and available for issuance under the Plan is subject to an automatic annual increase on each January 1, beginning on January 1, 2019, by an amount equal to the lesser of: (i) four percent (4%) of the number of shares of Common Stock issued and outstanding on the immediately preceding December 31 or (ii) such number of shares of Common Stock as determined by the compensation committee of the Company’s board of directors. Accordingly, on January 1, 2023, January 1, 2024, and January 1, 2025, the number of shares of Common Stock reserved and available for issuance under the Plan increased by 3,164,932, 3,611,291 and 4,258,153 shares, respectively. The additional shares are of the same class as other securities relating to the Plan for which the Registrant’s registration statements filed on Form S-8 filed with the Securities and Exchange Commission on December 20, 2022 (File No. 333-268908), March 6, 2020 (File No. 333-236946), March 7, 2018 (File No. 333-223488), March 23, 2017 (File No. 333-216892), June 29, 2016 (File No. 333-212308) and May 28, 2015 (File No. 333-204501), are effective. The information contained in the Registrant’s registration statements on Form S-8 (File Nos. 333-268908, 333-236946, 333- 223488, 333-216892, 333-212308 and 333-204501) are hereby incorporated by reference pursuant to General Instruction E.

Part II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

Item 8.
Exhibits.

Exhibit
No.
Description
Opinion of K&L Gates LLP.
 
 
Consent of K&L Gates LLP (included in Exhibit 5.1).
 
 
Consent of EisnerAmper LLP, independent registered public accounting firm.
 
 
Power of Attorney (included on signature page).
 
 
Second Amended and Restated 2014 Stock Option and Incentive Plan (Incorporated by reference to Appendix A to the Registrant’s Definitive Proxy Statement on Schedule 14A (File No. 001-36829) filed with the Securities and Exchange Commission on April 20, 2018).
 
 
Form of Incentive Stock Option Agreement (Employees) (Incorporated by reference to Exhibit 10.3# to the Registrant’s Annual Report on Form 10-K (File No. 001-36829) filed with the Securities and Exchange Commission on March 8, 2019).
 
 
Form of Non-Qualified Stock Option Agreement (Employees) (Incorporated by reference to Exhibit 10.4# to the Registrant’s Annual Report on Form 10-K (File No. 001-36829) filed with the Securities and Exchange Commission on March 8, 2019).
 
 
Form of Non-Qualified Stock Option Agreement (Non-Employee Directors) (Incorporated by reference to Exhibit 10.5# to the Registrant’s Annual Report on Form 10-K (File No. 001-36829) filed with the Securities and Exchange Commission on March 8, 2019).
 
 
Form of Non-Qualified Stock Option Agreement (Consultants) (Incorporated by reference to Exhibit 10.6# to the Registrant’s Annual Report on Form 10-K (File No. 001-36829) filed with the Securities and Exchange Commission on March 8, 2019).
 
 
Form of Restricted Stock Unit Award Agreement (Incorporated by reference to Exhibit 10.6.1# to the Registrant’s Annual Report on Form 10-K (File No. 001-36829) filed with the Securities and Exchange Commission on March 1, 2021).
 
 
Filing Fee Table.


*
Filed herewith.


SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Cranbury, State of New Jersey, on March 3, 2025.

 
ROCKET PHARMACEUTICALS, INC.
   
 
/s/ Gaurav Shah, MD
 
Gaurav Shah, MD
 
Chief Executive Officer


POWER OF ATTORNEY AND SIGNATURES

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Gaurav Shah, MD and Martin Wilson, and each of them, as his or her true and lawful attorney-in-fact and agent with the full power of substitution, for him or her, in any and all capacities, to sign any and all amendments to this Registration Statement (including post-effective amendments to this Registration Statement on Form S-8), and to file the same, with all exhibits thereto and other documents in connection therewith, with the Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully for all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or his or her substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons on behalf of the Registrant in the capacities and on the dates indicated:

Name
 
Title
 
Date
         
/s/ Gaurav Shah, MD
 
Chief Executive Officer and Director
 
March 3, 2025
Gaurav Shah, MD
 
(Principal Executive Officer)
   
         
/s/ Aaron Ondrey
 
Chief Financial Officer
 
March 3, 2025
Aaron Ondrey
 
(Principal Financial Officer)
   
         
/s/ John Militello
 
VP, Finance, Senior Controller & Treasurer
 
March 3, 2025
John Militello
 
(Principal Accounting Officer)
   
         
/s/ Elisabeth Björk
       
Elisabeth Björk
 
Director
 
March 3, 2025
         
/s/ Carsten Boess
       
Carsten Boess
 
Director
 
March 3, 2025
         
/s/ Mikael Dolsten
       
Mikael Dolsten
 
Director
 
March 3, 2025
         
/s/ Pedro Granadillo
       
Pedro Granadillo
 
Director
 
March 3, 2025
         
/s/ Gotham Makker, MD
       
Gotham Makker, MD
 
Director
 
March 3, 2025
         
/s/ Fady Malik
       
Fady Malik
 
Director
 
March 3, 2025
         
/s/ Piratip Pratumsuwan
       
Piratip Pratumsuwan
 
Director
 
March 3, 2025
         
/s/ David P. Southwell
       
David P. Southwell
 
Director
 
March 3, 2025
         
/s/ Roderick Wong, MD
       
Roderick Wong, MD
 
Director
 
March 3, 2025
         
/s/ R. Keith Woods
       
R. Keith Woods
 
Director
 
March 3, 2025