Gaurav Shah plans sale of RCKT common shares

Gaurav Shah filed to sell 2,837 shares of common stock of the issuer of RCKT through Fidelity Brokerage Services LLC on August 13, 2026, listed on NASDAQ, with an indicated value of $9,592.18.

Rhea-AI Filing Summary

Gaurav Shah filed to sell 2,837 shares of common stock of the issuer of RCKT through Fidelity Brokerage Services LLC on August 13, 2026, listed on NASDAQ, with an indicated value of $9,592.18. The shares relate to restricted stock vesting designated as compensation.

Over the prior three months, Shah reported sales of 2,728 shares for $9,836.08 on May 13, 2026, 2,409 shares for $7,261.69 on May 19, 2026, and 55,684 shares for $171,818.55 on May 21, 2026.

Key Figures

Planned shares to be sold: 2,837 shares Planned sale value: $9,592.18 Shares sold May 13, 2026: 2,728 shares +4 more

7 metrics

Planned shares to be sold 2,837 shares Common stock to be sold through Fidelity on August 13, 2026

Planned sale value $9,592.18 Value indicated for 2,837 shares of common stock

Shares sold May 13, 2026 2,728 shares Common stock sold for $9,836.08

Value May 13, 2026 sale $9,836.08 Proceeds from sale of 2,728 shares of common stock

Shares sold May 19, 2026 2,409 shares Common stock sold for $7,261.69

Shares sold May 21, 2026 55,684 shares Common stock sold for $171,818.55

Total value May 2026 sales $188,916.32 Combined value of three May 2026 sales

Key Terms

Restricted Stock Vesting, Compensation, Securities To Be Sold

3 terms

Restricted Stock Vesting financial

"Common | 08/11/2026 | Restricted Stock Vesting | Issuer"

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.

Compensation financial

"2837 | 08/11/2026 | Compensation"

Securities To Be Sold regulatory

"144: Securities To Be Sold"

FAQ

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

What does the RCKT Form 144 filing by Gaurav Shah disclose?

The filing discloses that Gaurav Shah plans to sell 2,837 common shares of the issuer of RCKT through Fidelity Brokerage Services LLC, tied to restricted stock vesting compensation, with an indicated value of $9,592.18 as of August 13, 2026.

How many RCKT shares has Gaurav Shah sold in the past three months?

Over the past three months, Gaurav Shah reported selling 60,821 shares of RCKT’s issuer: 2,728 shares on May 13, 2,409 shares on May 19, and 55,684 shares on May 21, 2026, for a combined value of $188,916.32.

What are the details of the new RCKT share sale planned on August 13, 2026?

The planned transaction involves 2,837 common shares of the issuer of RCKT, valued at $9,592.18, to be sold through Fidelity Brokerage Services LLC and listed on NASDAQ, with the shares originating from restricted stock vesting as compensation.

How is the planned RCKT share sale by Gaurav Shah categorized?

The planned sale of 2,837 common shares is tied to Restricted Stock Vesting and categorized as Compensation. This indicates the shares were originally issued as part of Shah’s compensation and are now eligible for resale under the disclosed terms.

What cash values were realized from Gaurav Shah’s recent RCKT share sales?

Recent transactions show realized values of $9,836.08 for 2,728 shares on May 13, $7,261.69 for 2,409 shares on May 19, and $171,818.55 for 55,684 shares on May 21, 2026, from sales of RCKT issuer common stock.

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

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Available on EDGAR 08/13/2026 - 03:39 PM Accepted by SEC EDGAR 08/13/2026 - 03:39 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	2837	9592.18	109774597	08/13/2026	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	08/11/2026	Restricted Stock Vesting	Issuer			2837	08/11/2026	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
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

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	08/13/2026
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 Gaurav Shah
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)