Rocket Pharmaceuticals officer proposes $37.5K sale

The sale includes an amount to cover a tax obligation tied to settlement of a vested equity award distribution.

Available on EDGAR 11/09/2026 - 03:23 PM EST Accepted by SEC EDGAR 11/09/2026 - 03:23 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Rocket Pharmaceuticals, Inc. (RCKT) officer Christopher James Stevens reported a proposed sale of 16,131 common shares, with an approximate sale date of November 9, 2026 and an aggregate market value of $37,530.38. The shares were acquired through restricted stock vesting on November 4, 2026, as compensation.

The sale includes an amount necessary to cover a tax obligation resulting from settlement of a vested equity award distribution. Stevens also sold 36,658 common shares on August 11, 2026, for gross proceeds of $128,281.01 during the preceding three months.

Key Figures

Shares reported for sale: 16,131 common shares Aggregate market value: $37,530.38 Shares outstanding: 109,774,597 shares +2 more

5 metrics

Shares reported for sale 16,131 common shares Approximate sale date November 9, 2026

Aggregate market value $37,530.38 Shares reported for sale

Shares outstanding 109,774,597 shares Reported in the securities information

Shares sold during the past three months 36,658 common shares Sale date August 11, 2026

Gross proceeds $128,281.01 Sale on August 11, 2026

Key Terms

Restricted Stock Vesting, vested equity award distribution, Gross Proceeds

3 terms

Restricted Stock Vesting financial

"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.

vested equity award distribution financial

"settlement of a vested equity award distribution"

Gross Proceeds financial

"Gross Proceeds"

The total amount of cash a company receives from a financing event or sale before any fees, expenses, taxes or deductions are taken out. Investors watch gross proceeds because it shows the raw scale of new capital being raised—think of it as the paycheck amount before withholdings—which helps assess how much funding is available for operations, growth, debt payoff or how much shareholder dilution might occur once costs are removed.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many RCKT shares did Christopher James Stevens report for sale?

The reported sale covers 16,131 common shares, with an approximate sale date of November 9, 2026 and an aggregate market value of $37,530.38.

How many RCKT shares had Christopher James Stevens sold in the prior three months?

The notice reports 36,658 common shares sold on August 11, 2026, for gross proceeds of $128,281.01 during the preceding three months.

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

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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	0002079768
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	Stevens Christopher James
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

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	16131	37530.38	109774597	11/09/2026	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	11/04/2026	Restricted Stock Vesting	Issuer			16131	11/04/2026	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
Christopher J. Stevens 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/11/2026	36658	128281.01

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	11/09/2026
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/ Jennifer Ruchti, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Christopher J. Stevens
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)