Exhibit 97
ROCKET PHARMACEUTICALS, INC.
NASDAQ RULE 5608 COMPENSATION CLAWBACK POLICY APPLICABLE TO EXECUTIVE OFFICERS
EFFECTIVE SEPTEMBER 25, 2023
Any action by the Company to recover Erroneously Awarded Compensation under this Policy from an Executive Officer will not, whether alone or in combination with any other action, event or condition, be deemed (i) “good reason” for resignation or to serve as a basis for a claim of constructive termination under any benefits or compensation arrangement applicable to such Executive Officer or (ii) to constitute a breach of a contract or other arrangement to which such Executive Officer is party.
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and in compliance with (or pursuant to an exemption from the application of) Section 409A of the Code. For the avoidance of doubt, to the extent that any recovery of Incentive-Based Compensation is required pursuant to the Listing Rule, this Policy will apply and will supersede the General Policy.
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EXHIBIT A
ROCKET PHARMACEUTICALS, INC.
NASDAQ RULE 5608 COMPENSATION CLAWBACK POLICY APPLICABLE TO EXECUTIVE OFFICERS
ACKNOWLEDGEMENT FORM
By signing below, the undersigned acknowledges and confirms that the undersigned has received and reviewed a copy of the Rocket Pharmaceuticals, Inc. Nasdaq Rule 5608 Compensation Clawback Policy Applicable to Executive Officers (the “Policy”).
By signing this Acknowledgement Form, the undersigned acknowledges and agrees that the undersigned is and will continue to be subject to the Policy and that the Policy will apply both during and after the undersigned’s employment with Rocket Pharmaceuticals, Inc. (the “Company”). Further, by signing below, the undersigned agrees to abide by the terms of the Policy, including, without limitation, by returning any Erroneously Awarded Compensation (as defined in the Policy) to the Company to the extent required by, and in a manner consistent with, the Policy.
EXECUTIVE OFFICER
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