# EDGAR Filing Document

**Accession Number:** 0001281895
**File Stem:** 0001140361-26-013112
**Filing Date:** 2026-4
**Character Count:** 9999
**Document Hash:** 53594c8d4441fe92f6847b9e544ef688
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-26-013112.hdr.sgml**: 20260403

**ACCESSION NUMBER**: 0001140361-26-013112

**CONFORMED SUBMISSION TYPE**: SC TO-C

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20260403

**DATE AS OF CHANGE**: 20260403

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROCKET PHARMACEUTICALS, INC.
- **CENTRAL INDEX KEY:** 0001281895
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC TO-C
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-88750
- **FILM NUMBER:** 26836867

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

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

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INOTEK PHARMACEUTICALS CORP
- **DATE OF NAME CHANGE:** 20040226
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROCKET PHARMACEUTICALS, INC.
- **CENTRAL INDEX KEY:** 0001281895
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC TO-C

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

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

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INOTEK PHARMACEUTICALS CORP
- **DATE OF NAME CHANGE:** 20040226

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### SCHEDULE TO

#### TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1)

#### OF THE SECURITIES EXCHANGE ACT OF 1934

#### (Amendment No.  )

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## Rocket Pharmaceuticals, Inc.

#### (Name of Subject Company (Issuer) and Filing Person (as Offeror))

#### Options to Purchase Common Stock, par value $0.01 per share

#### (Title of Class of Securities)

#### 77313F106

#### (CUSIP Number of Class of Securities)

#### Gaurav Shah, MD

#### Chief Executive Officer

#### 9 Cedarbrook Drive

#### Cranbury, NJ 08512
(646) 440-9100

#### (Name, address, and telephone number of person authorized to receive notices and communications on behalf of filing persons)

#### With copies to:

#### Whitney J. Smith

#### Sean M. Jones

#### K&L Gates LLP

#### 599 Lexington Ave.

#### New York, NY 10022
(212) 536-3900

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#### CALCULATION OF FILING FEE

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| | |
|:---|:---|
| **Transaction Value (1)** | **Amount of Filing Fee (2)** |
| N/A | N/A |

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\* Pursuant to General Instruction D to Schedule TO, a filing fee is not required in connection with this filing as it relates solely to preliminary communications made before the commencement of a tender offer.

☐ Check the box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the offsetting fee was previously paid. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.

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| | |
|:---|:---|
| Amount Previously Paid: Not applicable. | Filing Party: Not applicable. |
| Form or Registration No.: Not applicable. | Date Filed: Not applicable. |

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☒ Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer.

Check the appropriate boxes below to designate any transactions to which the statement relates:

☐ third-party tender offer subject to Rule 14d-1.

☒ issuer tender offer subject to Rule 13e-4.

☐ going-private transaction subject to Rule 13e-3.

☐ amendment to Schedule 13D under Rule 13d-2.

Check the following box if the filing is a final amendment reporting the results of the tender offer: ☐

If applicable, check the appropriate box(es) below to designate the appropriate rule provision(s) relied upon:

☐ Rule 13e-4(i) (Cross-Border Issuer Tender Offer) <br> ☐ Rule 14d-1(d) (Cross-Border Third-Party Tender Offer)

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Attached as Exhibit 99.1 hereto is a communication (the "Employee Communication") sent by the Company's Chief Corporate Officer and General Counsel, on April 1, 2026 to Company employees regarding a proposed stock option exchange program ("Exchange Program") that would allow current employees of the Company who are not executive officers at the EVP-level or above to exchange certain stock options having a per-share exercise price that is equal to or higher than the trading price of the Company's common stock, as of the date immediately prior to the date the Exchange Program is commenced, for new stock options on an approximately value-neutral basis.

#### The Employee Communication does not constitute an offer to holders of the Company's outstanding stock options to exchange those options.

***The Exchange Program has not yet commenced. The Company may decide not to implement the Exchange Program. The Company will file a Tender Offer Statement on Schedule TO with the Securities and Exchange Commission (the "SEC") if and when the Exchange Program commences. Option holders should read the Tender Offer Statement on Schedule TO and other related materials when those materials become available, because they will contain important information about the Exchange Program.***

***The Company's shareholders and option holders will be able to obtain the written materials described above and the other documents filed by the Company with the SEC free of charge from the SEC's website at www.sec.gov or by directing a written request to: Corporate Secretary, at 9 Cedarbrook Drive, Cranbury, NJ 08512.***

#### Item 12. Exhibits.

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| | |
|:---|:---|
| **Exhibit No.** | **Document** |
| [99.1](ny20069837x1_ex99-1.htm) | Email from the Company's Chief Corporate Officer and General Counsel to employees, sent April 1, 2026 |

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## Exhibit 99.1

#### Exhibit 99.1<br>

#### <br>

#### Employee Email: Stock Option Exchange
**From**: Communications (on behalf of Martin)

**BCC**: All Rocket Employees

**Subject**: Upcoming Stock Option Exchange Program: More Information Coming Soon

**Timing**: Wednesday, April 1 (at ~9:30am ET)

![](ny20069837x1_ex99-1logo.jpg)

Dear Rocket Team,

Equity is a core component of our total rewards program, designed to meaningfully connect employees to Rocket's long-term success. Market movements in our share price have resulted in some employees holding stock option grants that are currently "underwater" (shares with an exercise price above the current stock price).

To address this, I'm pleased to share that Rocket has proposed a **stock option exchange program** in our most recent proxy filing for shareholder approval at our upcoming Annual Meeting on May 20, 2026.

If approved, the program would allow eligible employees the choice of exchanging certain "underwater" stock options for new equity awards that are better aligned with today's market conditions.

At this stage, **no action is required**. We will share full details soon, including eligibility, specific terms, timing, and how to participate, along with resources to help you make the best decision for your individual situation.

Thanks for your attention as we take intentional steps to ensure equity continues to function as an effective element of our total rewards program.

Kind regards,

#### Martin

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*This email is not an offer to exchange any stock options. The stock option exchange program has not yet commenced, and there can be no assurance that it will be commenced or implemented (even if it is approved by our stockholders). Rocket will file a Tender Offer Statement on Schedule TO with the Securities and Exchange Commission (SEC) if and when the stock option exchange program commences. If we commence the stock option exchange program, we will provide employees who are eligible to participate with written materials explaining the precise terms and timing of the program. You should read those materials carefully when they become available, because they will contain important information. You will also be able to obtain the tender offer statement and other documents filed by Rocket with the SEC free of charge from the SEC's website at <u>www.sec.gov</u>.*

*In addition, this communication does not constitute a solicitation of a proxy within the meaning of Section 14 of the Securities Exchange Act of 1934, as amended, or the rules and regulations promulgated thereunder, including Regulation 14A. This communication is not a substitute for the definitive proxy statement that we will file with the SEC in connection with our upcoming annual meeting of stockholders on May 20, 2026. In connection with our annual meeting of stockholders, the Company will file a definitive proxy statement with the SEC, which Rocket stockholders are urged to read carefully as it will contain important information about Rocket and the stock option exchange program. Stockholders and other interested parties will be able to obtain the proxy statement and other documents filed by Rocket with the SEC free of charge from the SEC's website at www.sec.gov.*

This email and any files transmitted with it are confidential and intended solely for the use of the individual or entity to whom they are addressed. If you are not the named addressee, you should not disseminate, distribute, or copy this e-mail; any action in reliance on the contents of this information is strictly prohibited. Please notify the sender immediately by e-mail and delete this e-mail from your system.

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