Item 5.07. Submission of Matters to a Vote of Security Holders.

The 2021 Annual Meeting of Stockholders of Rocket Pharmaceuticals, Inc. (the "Company"), was held on June 14, 2021 (the "Annual Meeting"). At the Annual Meeting, there were present, in person or by proxy, holders of 55,209,568 shares of common stock, or approximately 88.92% 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 eight directors to the Company's Board of Directors ("Board") by the following votes:



Nominee                        Votes For    Votes Withheld   Broker Non-Votes
Roderick Wong, M.D.            36,242,929     12,797,923        6,168,716
Elisabeth Björk, M.D., Ph.D.   48,505,166      535,686          6,168,716
Carsten Boess                  48,415,207      625,645          6,168,716
Pedro Granadillo               44,307,682     4,733,170         6,168,716
Gotham Makker, M.D.            43,375,012     5,665,840         6,168,716
Gaurav Shah, M.D.              40,786,594     8,254,258         6,168,716
David P. Southwell             40,615,022     8,425,830         6,168,716
Naveen Yalamanchi, M.D.        34,245,562     14,795,290        6,168,716

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 fiscal year ending December 31, 2021 by the following votes:



Votes For    Votes Against   Abstentions
55,188,792       5,381         15,395

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 proxy statement for the 2021 Annual Meeting of Stockholders 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   Abstentions Broker Non-Votes
48,398,773      625,867        16,212       6,168,716

Proposal Four - Non-Binding Advisory Vote on the Frequency of Future Advisory Votes on the Compensation of the Company's Named Executive Officers

The Company's stockholders approved to recommend on a non-binding, advisory basis, that the Company conduct any required stockholder advisory vote on named executive officer compensation every year, every two years, or every three years in accordance with such frequency receiving the greatest number of votes cast for this resolution. The final votes were:



Each Year    Every 2 Years   Every 3 Years   Abstentions   Broker Non-Votes
48,930,128       3,127          91,359         16,238         6,168,716

--------------------------------------------------------------------------------

© Edgar Online, source Glimpses