Proposed resale of 2,409 Common shares by RCKT filer (Form 144)

Rhea-AI Filing Summary

Form 144 notice reporting a proposed sale of 2,409 Common shares associated with a Restricted Stock Vesting event dated 05/15/2026. The filing also discloses 2,728 Common shares sold during the prior three months on 05/13/2026.

Insights

Securities Compliance Attorney

Rule 144 notice for a proposed resale of vested restricted shares.

The filing lists a proposed sale of 2,409 Common shares tied to Restricted Stock Vesting on 05/15/2026. It also reports 2,728 shares sold in the prior three months on 05/13/2026.

As a procedural SEC notice, this document signals a planned resale under resale safe-harbors; timing, sale method, and purchaser details are not shown in the excerpt and will appear in subsequent transaction reports if and when the shares are sold.

Key Figures

Proposed sale: 2,409 shares Recent sale (past 3 months): 2,728 shares Broker identifier: 109193549 +1 more

4 metrics

Proposed sale 2,409 shares Securities To Be Sold; <date>05/15/2026</date>

Recent sale (past 3 months) 2,728 shares Securities Sold During The Past 3 Months; <date>05/13/2026</date>

Broker identifier 109193549 Numeric field adjacent to Fidelity Brokerage Services LLC in excerpt

Filing reference date 05/19/2026 Date shown near the issuer/securities block

Key Terms

Restricted Stock Vesting, Form 144, Compensation

3 terms

Restricted Stock Vesting financial

"Securities To Be Sold line: "Restricted Stock Vesting""

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

Form 144 regulatory

"Header and filing type designation in the excerpt"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Compensation financial

"Securities To Be Sold entry lists "Compensation" as the source"

FAQ

What does Rocket Lab (RCKT) Form 144 report?

The Form 144 lists a proposed resale of 2,409 Common shares linked to a Restricted Stock Vesting dated 05/15/2026. It also records 2,728 shares sold during the prior three months on 05/13/2026.

Who is listed as the filer on the Form 144 for RCKT?

The filing shows Fidelity Brokerage Services LLC with an address at 900 Salem Street, Smithfield, RI. The filer line in the excerpt includes an identifying numeric field 109193549 alongside the broker information.

Are the shares being sold from compensation or open-market sources?

The Form 144 identifies the source as Restricted Stock Vesting under the filing's "Compensation" category, indicating the shares originated from a vesting event rather than an open-market purchase.

Does the Form 144 show proceeds or sale price for the proposed sale?

The excerpt does not provide a sale price or proceeds amount. The filing itemizes share counts and dates but does not state transaction prices or cash proceeds in the provided text.

What recent sales are reported in the filing’s three-month history?

The filing reports that Gaurav Shah sold 2,728 Common shares on 05/13/2026. That sale appears in the "Securities Sold During The Past 3 Months" section of the excerpt.

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Accepted by SEC EDGAR 05/19/2026 - 03:38 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	2409	7261.69	109193549	05/19/2026	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	05/15/2026	Restricted Stock Vesting	Issuer			2409	05/15/2026	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	05/13/2026	2728	9836.08

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	05/19/2026
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/ Joshua Schmitt, 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)