Current Report Filing (8-k)
22 March 2018 - 7:04AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 16, 2018
Rocket Pharmaceuticals, Inc.
(Exact Name of Registrant as Specified in its Charter)
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Delaware
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001-36829
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04-3475813
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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430 East 29th Street, Suite 1040
New York, New York 10016
(Address of Principal Executive Offices)
(646)
440-9100
(Registrants Telephone Number, Including Area Code)
Check the appropriate box below if the Form
8-K
is intended to simultaneously satisfy the filing
obligation of the registrant under any of the following provisions (see General Instructions A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to
Rule 14a-12
under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to
Rule 14d-2(b) under
the Exchange Act (17 CFR
240.14d-2(b))
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Pre-commencement
communications pursuant to
Rule 13e-4(c) under
the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
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 13(a) of the Exchange
Act. ☒
Item 4.01
Change in Registrants Certifying Accountant.
On March 16, 2018, the Audit Committee of the Board of Directors (the Audit Committee) of Rocket Pharmaceuticals, Inc. (the
Company) dismissed RSM US LLP (RSM) as the independent registered public accounting firm of Rocket Pharmaceuticals, Inc. (formerly known as Inotek Pharmaceuticals Corporation), effective immediately. On the same date, the
Audit Committee approved the appointment of EisnerAmper LLP (Eisner) as the Companys new independent registered public accounting firm, effective as of such date.
The reports of RSM on the Rocket Pharmaceuticals, Inc. (formerly known as Inotek Pharmaceuticals Corporation) financial statements for each of fiscal years
ended December 31, 2017 and December 31, 2016 did not contain an adverse opinion or a disclaimer of opinion, nor were they qualified or modified as to uncertainty, audit scope or accounting principle.
During the fiscal years ended December 31, 2017 and December 31, 2016, and the subsequent interim period, there were no disagreements (as that term
is defined in Item 304(a)(1)(iv) of
Regulation S-K and
related instructions) between the Company and RSM on any matter of accounting principles or practices, financial statement disclosure or
auditing scope or procedures which disagreements, if not resolved to the satisfaction of RSM would have caused RSM to make reference thereto in its reports on the financial statements for such years.
The Company provided RSM with a copy of the disclosures it is making in this Current Report on
Form 8-K and
requested that RSM furnish the Company with a letter addressed to the Securities and Exchange Commission stating whether it agrees with the statements contained herein. A copy of RSMs letter, dated March 21, 2018, is filed as Exhibit 16.1
to this Current Report on
Form 8-K.
During the fiscal years ended December 31, 2017 and
December 31, 2016, and the subsequent interim period, neither Rocket Pharmaceuticals, Inc. (formerly known as Inotek Pharmaceuticals Corporation), nor anyone acting on its behalf, consulted with Eisner regarding: (i) the application of
accounting principles to a specified transaction, either completed or proposed, or the type of audit opinion that may be rendered on the Companys financial statements, and Eisner did not provide either a written report or oral advice to the
Company that was an important factor considered by the Company in reaching a decision as to the accounting, auditing or financial reporting issue, or (ii) any matter that was either the subject of a disagreement (as defined in Item
304(a)(1)(iv) of
Regulation S-K and
the related instructions) or a reportable event (as described in Item 304(a)(1)(v) of
Regulation S-K).
Item 9.01
Financial Statements and Exhibits
(d) Exhibits
SIGNATURE
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.
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Rocket Pharmaceuticals, Inc.
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Date: March 21, 2018
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By:
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/s/ Gaurav Shah
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Name:
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Gaurav Shah
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Title:
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President and Chief Executive Officer
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