Rocket Pharmaceuticals (RCKT) Form 144: Restricted Stock Vesting, Planned Sale

Rhea-AI Filing Summary

Form 144 filed for Rocket Pharmaceuticals, Inc. (RCKT) reports a proposed sale of 1,680 common shares through Fidelity Brokerage Services on 08/18/2025 with an aggregate market value of $5,149.54. The filing shows these shares were acquired on 08/14/2025 via restricted stock vesting and paid as compensation. The issuer's outstanding share count is listed as 107,903,871. The filer previously sold 801 shares on 05/20/2025 for $5,163.25 and 11,161 shares on 08/14/2025 for $33,691.71. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.

Positive

• Timely disclosure of proposed insider sale under Rule 144 demonstrating regulatory compliance
• Securities acquired via restricted stock vesting and paid as compensation, indicating standard equity compensation monetization
• Prior sales disclosed for transparency (801 shares on 05/20/2025 and 11,161 shares on 08/14/2025)

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider disclosure showing small sales following restricted stock vesting; no material change to capitalization.

The Form 144 documents a proposed sale of 1,680 shares valued at $5,149.54, acquired by restricted stock vesting on 08/14/2025. Given the issuer's reported 107,903,871 shares outstanding, the amount scheduled for sale represents a de minimis fraction of total equity and is unlikely to be material to valuation or liquidity. Prior reported sales of 801 and 11,161 shares in the past three months are disclosed, supporting transparency around insider trading activity. This filing fulfills Rule 144 disclosure obligations without indicating company-level operational or financial developments.

Corporate Governance Expert

TL;DR: The filing reflects compliance with disclosure rules after compensation-related vesting; no governance red flags apparent.

The seller reports acquisition via restricted stock vesting and timely notice of proposed sales through a broker, which aligns with standard governance practices for equity compensation monetization. The document includes the required declaration that the seller is unaware of undisclosed material adverse information. There are no disclosures here of unusual trading plans, accelerated sales, or insider departures. From a governance perspective, this is a routine, compliant insider transaction filing.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	1680	5149.54	107903871	08/18/2025	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	08/14/2025	Restricted Stock Vesting	Issuer			1680	08/14/2025	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
Jonathan D. Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/20/2025	801	5163.25
Jonathan D. Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/14/2025	11161	33691.71

144: Remarks and Signature

Remarks

Date of Notice

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Rocket Pharmaceuticals (RCKT) Form 144 disclose?

The filing discloses a proposed sale of 1,680 common shares via Fidelity on 08/18/2025, valued at $5,149.54.

How were the RCKT shares acquired that are being sold?

The shares were acquired on 08/14/2025 through restricted stock vesting and paid as compensation.

Has the filer sold RCKT shares recently?

Yes; the filer sold 801 shares on 05/20/2025 for $5,163.25 and 11,161 shares on 08/14/2025 for $33,691.71.

What is the issuer's outstanding share count reported in the filing?

The filing reports 107,903,871 shares outstanding.

Through which broker will the proposed sale be executed?

The proposed sale is listed with Fidelity Brokerage Services LLC, 900 Salem Street, Smithfield RI on NASDAQ.