Rocket Pharma (NASDAQ: RCKT) sale tied to 2026 vesting, tax bill

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. (RCKT) is the issuer for which Gaurav Shah has filed a Rule 144 notice to sell restricted common stock. The notice covers a proposed sale of 2,293 shares, arising from restricted stock vesting on August 14, 2026, with prior sales disclosed over the preceding three months.

Key Figures

Shares to be sold: 2,293 shares Aggregate value for 2,293 shares: $7,753.55 Vesting date: 08/14/2026 +5 more

8 metrics

Shares to be sold 2,293 shares Proposed Rule 144 sale of Rocket Pharmaceuticals common stock

Aggregate value for 2,293 shares $7,753.55 Securities information related to the proposed sale

Vesting date 08/14/2026 Restricted stock vesting linked to the 2,293 shares

Shares sold 05/19/2026 2,409 shares Past 3 months’ Rocket Pharmaceuticals common stock sale

Proceeds 05/19/2026 $7,261.69 Aggregate amount for 2,409 shares sold

Shares sold 05/21/2026 55,684 shares Past 3 months’ Rocket Pharmaceuticals common stock sale

Proceeds 05/21/2026 $171,818.55 Aggregate amount for 55,684 shares sold

Shares sold 08/13/2026 2,837 shares Past 3 months’ Rocket Pharmaceuticals common stock sale

Key Terms

Rule 144, restricted stock, vested equity award distribution

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

restricted stock financial

"Common | 08/14/2026 | Restricted Stock Vesting | Issuer"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

vested equity award distribution financial

"tax obligation resulting from the settlement of a vested equity award distribution."

FAQ

What does the Form 144 filing involving RCKT disclose about Gaurav Shah's planned sale?

The filing discloses Gaurav Shah’s intent to sell 2,293 shares of Rocket Pharmaceuticals common stock under Rule 144. These shares relate to restricted stock vesting on August 14, 2026, treated as compensation from the issuer.

How many Rocket Pharmaceuticals (RCKT) shares has Gaurav Shah sold in the past three months?

Over the past three months, Gaurav Shah reported sales of 2,409 shares on May 19, 2026, 55,684 shares on May 21, 2026, and 2,837 shares on August 13, 2026. Each transaction involved Rocket Pharmaceuticals common stock.

What is the approximate aggregate value associated with the 2,293 RCKT shares in the Form 144 notice?

The 2,293 Rocket Pharmaceuticals shares in the notice are tied to an aggregate value of about $7,753.55. This amount appears in the securities information section together with the reported share count and NASDAQ listing reference.

What is the stated reason for part of the Rocket Pharmaceuticals (RCKT) share sale by Gaurav Shah?

The remarks state that the sale includes an amount necessary to cover a tax obligation arising from the settlement of a vested equity award distribution. This links the transaction to compensation-related equity rather than purely discretionary selling.

When are the Rocket Pharmaceuticals (RCKT) restricted shares scheduled to vest in this Form 144?

The restricted Rocket Pharmaceuticals shares referenced are scheduled to vest on August 14, 2026. The planned sale of 2,293 shares is tied to this restricted stock vesting event and is identified as compensation from the issuer.

Who is executing the Form 144 sale related to Rocket Pharmaceuticals (RCKT) on behalf of Gaurav Shah?

The notice is signed by Louis Kurnick as a duly authorized representative of Fidelity Brokerage Services LLC, acting as attorney-in-fact for Gaurav Shah, in connection with the planned Rocket Pharmaceuticals stock sale.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/18/2026 - 03:50 PM Accepted by SEC EDGAR 08/18/2026 - 03:49 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001725922
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ROCKET PHARMACEUTICALS, INC.
SEC File Number	001-36829
Address of Issuer	350 FIFTH AVENUE SUITE 7530 NEW YORK NEW YORK 10118
Phone	646-440-9100
Name of Person for Whose Account the Securities are To Be Sold	Shah Gaurav
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	2293	7753.55	109774597	08/18/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/14/2026	Restricted Stock Vesting	Issuer			2293	08/14/2026	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Gaurav Shah 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/19/2026	2409	7261.69
Gaurav Shah 9 Cedarbrook Drive, Cranbury NJ 08512	Common	05/21/2026	55684	171818.55
Gaurav Shah 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/13/2026	2837	9592.18

144: Remarks and Signature

Remarks	Sale includes an amount necessary to cover a tax obligation resulting from the settlement of a vested equity award distribution.
Date of Notice	08/18/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Louis Kurnick, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Gaurav Shah
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)