Rocket Pharmaceuticals, Inc. filings document regulatory, financial, governance, and capital-structure disclosures for a biotechnology company developing and commercializing genetic therapies for rare disorders. Recent 8-K reports cover quarterly and annual operating results, FDA-related events for KRESLADI, Priority Review Voucher monetization, and clinical-program updates for cardiovascular gene therapy candidates.
The filing record also includes definitive proxy materials for annual-meeting governance matters and material-agreement disclosures related to an at-the-market common stock offering program under a shelf registration statement. These documents describe board and shareholder-vote matters, equity financing mechanics, common stock structure, business risks, and formal disclosure controls around product approvals and development programs.
Rocket Pharmaceuticals entered a senior secured term-loan facility with Hercules Capital and other lenders for up to $150.0 million; $35.0 million was funded on September 30, 2026. Further advances include borrower-option tranches, $30.0 million after a clinical milestone, and a final tranche of up to $50.0 million subject to lender investment committee approval.
Interest is the greater of prime or 6.75%, plus 2.40% annually; payments are interest-only through April 1, 2029, with milestone-based extensions. Maturity is October 1, 2030, extendable to October 1, 2031 if the milestone is achieved and no default continues. Substantially all borrower assets secure the loans; a qualified-cash covenant requires 35%–75% of outstanding loans and is not tested when market capitalization exceeds $600.0 million.
Rocket also issued warrants to purchase up to 1,755,853 shares at $2.99 each; 409,699 shares were exercisable after the initial advance, with full exercisability tied to a maximum facility draw. The RP-A501 update reported three Cohort 4 patients treated at the recalibrated dose, with one resolved Grade 3 GGT increase. Cohort 3 was discontinued after serious adverse events in two patients on a C3-inhibitor regimen; pivotal topline results are provisionally targeted for mid-2028.
ROCKET PHARMACEUTICALS, INC. (RCKT) reported that its General Counsel, Wilson Martin, sold 75,364 shares of common stock on September 11, 2026, at $3.403 per share. The company states the sale was made to satisfy tax withholding obligations related to vesting RSUs, and Martin held 598,489 shares afterward, including RSUs that convert to common stock one-for-one. No Rule 10b5-1 trading plan is reported.
ROCKET PHARMACEUTICALS, INC. (RCKT) has a notice under Rule 144 filed on behalf of former officer John Militello for the proposed sale of 6,897 shares of common stock through Fidelity Brokerage Services LLC. These shares were acquired on September 11, 2026 through restricted stock vesting as compensation.
The filing also lists Militello’s sales of Rocket Pharmaceuticals common stock over the prior three months, and notes that the sale includes shares needed to cover a tax obligation arising from the settlement of a vested equity award distribution.
Rocket Pharmaceuticals, Inc. (RCKT) reported that the U.S. Food and Drug Administration agreed on key elements for the global pivotal Phase 2 trial of gene therapy RP-A501 in Danon disease, including a 12-patient pivotal efficacy population and use of a recalibrated dose.
The FDA reviewed clinical data from the first three male patients treated under a modified protocol at 3.8 × 10¹³ GC/kg, noting no clinical or laboratory evidence of thrombotic microangiopathy or capillary leak syndrome, and confirmed continued enrollment and dosing at this dose. These first three patients count toward the 12-patient pivotal population, leaving nine to enroll, and Rocket expects to complete dosing of the remaining patients by mid-2027. The primary efficacy assessment will occur at 12 months using co-primary endpoints of myocardial LAMP2 protein expression and a 10% reduction from baseline in left ventricular mass index, which are intended to support a potential accelerated approval pathway.
ROCKET PHARMACEUTICALS, INC. (RCKT) is the issuer of common stock for which former officer John Militello has filed a notice under Rule 144 to sell 6,857 shares through Fidelity Brokerage Services LLC on NASDAQ, with an aggregate value of $22,730.96 as of September 14, 2026.
The shares to be sold were acquired on September 10, 2026 through restricted stock vesting as compensation from the issuer, and the filing notes that the sale includes an amount necessary to cover a tax obligation from settlement of a vested equity award distribution. In the preceding three months, Militello reported sales of 1,252 shares for $4,233.51 on August 18, 2026 and 8,923 shares for $30,367.65 on September 11, 2026.
ROCKET PHARMACEUTICALS, INC. (RCKT) is the issuer for a planned sale of common stock reported on a Form 144 for the account of officer Martin Wilson. The notice covers up to 75,364 shares of common stock held at Fidelity Brokerage Services LLC, with an estimated aggregate market value of $256,486.30 as of September 11, 2026, based on a market value of $3.40 per share. The securities to be sold arise from restricted stock vesting on September 9, 2026, categorized as compensation. A remark states that the sale includes an amount necessary to cover a tax obligation resulting from the settlement of a vested equity award distribution. The filing also lists prior sales of 3,493 and 631 shares of RCKT common stock on August 13, 2026 and August 18, 2026, respectively.
ROCKET PHARMACEUTICALS, INC. (RCKT) is the issuer in a notice that former officer John Militello intends to sell common stock under Rule 144. The notice covers a proposed sale of 8,923 shares, acquired through restricted stock vesting on September 9, 2026, with part of the sale intended to cover related tax obligations. The filing also reports a prior sale of 1,252 shares of common stock on August 18, 2026.
Rocket Pharmaceuticals, Inc. (RCKT) is having a class of its securities, described as a warrant expiring on September 2, 2026, removed from listing and/or registration on the Nasdaq Stock Market LLC under Section 12(b) of the Securities Exchange Act of 1934.
Nasdaq states that it has complied with its own rules to strike this class from listing, and that Rocket Pharmaceuticals has complied with the exchange’s rules and the requirements of 17 CFR 240.12d2-2(c) governing the voluntary withdrawal of the class from listing and registration.
Rocket Pharmaceuticals, Inc. (RCKT) adopted a new Severance and Change in Control Program covering U.S. employees not already under separate severance arrangements. Eligibility for non-change-in-control severance requires at least one year of service, and benefits are conditioned on signing a release of claims. The program replaces prior severance arrangements but allows individually approved exceptions.
Rocket also entered into updated executive employment arrangements. CEO Gaurav Shah’s agreement provides a base salary of $674,856, a target bonus of 60% of base salary, and cash and COBRA severance enhancements if terminated without Cause or for Good Reason, with larger amounts upon a qualifying Change in Control termination. General Counsel and Chief Corporate Officer Martin Wilson’s agreement provides a base salary of $547,313, a 45% target bonus, and similar severance and COBRA protections, including enhanced change-in-control terms. An amendment for COO Christopher Stevens aligns his severance and change-in-control protections with this framework while leaving the rest of his prior agreement in effect.
ROCKET PHARMACEUTICALS, INC. (RCKT) reported that General Counsel Martin Wilson sold 631 shares of common stock on 2026-08-18 at $3.381 per share. According to the disclosure, the sale was made to cover tax withholding obligations arising from the vesting of Restricted Stock Units. After this transaction, Wilson directly holds 673,853 shares, including RSUs that convert to common stock on a one-for-one basis.