Rocket Pharmaceu SEC Filings

Rocket Pharmaceuticals, Inc. (RCKT)1,086 shares of common stock on November 18, 2025 at a price of $2.983 per share. After this transaction, he beneficially owns 65,920 shares, held directly. The holdings include restricted stock units (RSUs) that convert to common stock on a one-for-one basis. Militello is identified as Vice President of Finance, Treasurer and Principal Accounting Officer.

Rocket Pharmaceuticals, Inc. (RCKT) CEO and director Gaurav Shah reported an open-market sale of 6,276 shares of common stock on November 18, 2025 at a price of $2.983 per share.

Following this transaction, he beneficially owns 778,296 shares directly, 207,897 shares indirectly through his spouse, and 198,341 shares indirectly through the Gaurav D. Shah Irrevocable Trust. The reported holdings include Restricted Stock Units that convert into common stock on a one-for-one basis.

Rocket Pharmaceuticals, Inc. (RCKT) reported an insider stock transaction by its General Counsel, Martin Louis Wilson. On 11/18/2025, he sold 1,646 shares of Rocket Pharmaceuticals common stock at a price of $2.983 per share in a single transaction. After this sale, he beneficially owns 383,816 shares of Rocket Pharmaceuticals common stock in direct ownership. These holdings include Restricted Stock Units that convert to common stock on a one-for-one basis.

Rocket Pharmaceuticals (RCKT) reported an insider equity award. The company’s General Counsel acquired 100,000 shares on 11/03/2025 at a reported price of $0, identified as Restricted Stock Units that convert to common stock on a one-for-one basis and fully vest on 11/03/2026.

Following this transaction, the reporting person beneficially owned 385,462 shares, held directly. This filing reflects routine equity compensation rather than an open‑market purchase.

Rocket Pharmaceuticals (RCKT) filed its Q3 2025 10‑Q, reporting continued investment in late-stage gene therapies without revenue. Net loss was $50.3 million for the quarter and $180.6 million for the nine months ended September 30, 2025. Operating expenses declined year over year as R&D fell to $34.1 million from $42.3 million and G&A to $18.4 million from $27.1 million, reflecting portfolio reprioritization.

Cash, cash equivalents and investments totaled $222.8 million as of September 30, 2025, and the company expects this to fund operations into the second quarter of 2027. Stockholders’ equity was $313.7 million. Rocket implemented a strategic reorganization in July 2025, reducing its workforce by ~30% and recording $3.3 million in restructuring charges year to date.

In clinical updates, the FDA lifted the clinical hold on the RP‑A501 Phase 2 trial on August 20, 2025 after the company addressed issues outlined in the hold. A prior intellectual property dispute with Lexeo was settled with no material financial impact.

Rocket Pharmaceuticals (RCKT) furnished a press release with certain financial information for the quarter ended September 30, 2025. The company submitted the release as Exhibit 99.1 under Item 2.02 of Form 8‑K.

The information is being furnished, not filed, meaning it is not subject to Section 18 liabilities and is not incorporated by reference into other filings unless specifically referenced.

Rocket Pharmaceuticals (RCKT) reported insider transactions. A company officer sold an aggregate 28,918 shares of common stock on 10/14/2025 across multiple trades priced between $3.96 and $3.975 per share. Following these sales, the officer beneficially owned 67,006 shares, held directly. The reporting person is identified as Vice President of Finance, Treasurer, and Principal Accounting Officer. Holdings noted include RSUs that convert to common stock on a one-for-one basis.

Rocket Pharmaceuticals (RCKT) announced FDA acceptance of its resubmitted BLA for KRESLADI (marne‑cel), an investigational lentiviral gene therapy for severe Leukocyte Adhesion Deficiency‑I (LAD‑I). The agency set a PDUFA date of March 28, 2026, establishing the formal timeline for a U.S. approval decision.

KRESLADI targets a rare, life‑threatening immune disorder that often proves fatal in childhood without allogeneic stem cell transplant. If approved, the company is eligible for a Rare Pediatric Disease Priority Review Voucher, which can carry strategic value for future regulatory filings. The company attached a press release (Exhibit 99.1) and cautioned that approval is not assured, consistent with forward‑looking statement disclosures.

Insider equity awards and option grants were recorded for Rocket Pharmaceuticals (RCKT). The reporting person, the company’s Chief Medical Officer, was issued 283,018 restricted stock units (RSUs) that convert one-for-one to common shares and an additional 62,893 RSUs, for a total beneficial ownership of 345,911 shares after the transactions. The filing also shows a grant of 383,854 non-qualified stock options exercisable at $3.18 per share with an exercisable start on 10/06/2028 and expiration on 10/06/2035.

Vesting schedules are time-based: one-third of the larger RSU and option awards vest on 10/06/2026, with the remainder vesting quarterly over two years; the smaller RSU award vests half on 10/06/2026 and fully by the second anniversary. All vesting is subject to continued employment.