[144] Rocket Pharmaceuticals, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Rocket Pharmaceuticals, Inc. (RCKT) shows a proposed sale of 588 common shares via Fidelity Brokerage Services with an aggregate market value of $1,761.77. The shares represent part of restricted stock that vested and were acquired on 08/15/2025 and were paid as compensation. The approximate sale date is 08/19/2025 on NASDAQ. The filing also discloses three recent sales by Martin Wilson during the past three months: 587 shares on 05/20/2025 (gross proceeds $3,783.80), 12,109 shares on 08/14/2025 ($36,553.44), and 1,004 shares on 08/18/2025 ($3,077.46). The filer certifies no undisclosed material adverse information.

Positive

• Disclosure compliance: Filing provides required Rule 144 details including broker, share counts, acquisition method, and recent sales history
• Insider representation: Filer certifies no undisclosed material adverse information, aligning with disclosure best practices

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine Rule 144 notice for sale of vested restricted shares; transactions disclosed for transparency, immaterial relative to outstanding shares.

The filing documents a proposed sale of 588 vested restricted shares valued at $1,761.77 to be executed through Fidelity on NASDAQ. Acquisition and payment dates are both 08/15/2025 and payment is listed as compensation, indicating these shares resulted from a compensation vesting event rather than an open-market purchase. Recent insider sales by Martin Wilson totaling 13,700 shares over the past three months are disclosed with gross proceeds reported. Relative to the issuer’s reported outstanding share count of 107,903,871, the volumes disclosed here are immaterial in percentage terms. The notice fulfills Rule 144 disclosure requirements and contains the standard insider representation regarding material non-public information.

Corporate Governance Specialist

TL;DR: Compliance-focused filing showing insider sales and vested equity distribution; procedural and governance disclosure is complete.

The Form 144 provides necessary details: broker, number of shares, market value, acquisition method (restricted stock vesting), and recent sales history for the account holder. The signer affirms no undisclosed material adverse information. For governance review, the filing documents compensation-related share disposition and past disposals by the same individual, enabling investors and compliance officers to trace insider liquidity events. No regulatory or procedural exceptions are evident in the disclosed fields.

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	588	1761.77	107903871	08/19/2025	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	08/15/2025	Restricted Stock Vesting	Issuer			588	08/15/2025	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
Martin Wilson 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/20/2025	587	3783.80
Martin Wilson 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/14/2025	12109	36553.44
Martin Wilson 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/18/2025	1004	3077.46

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 the Form 144 for RCKT disclose about the proposed sale?

The form discloses a proposed sale of 588 common shares through Fidelity with an aggregate market value of $1,761.77, to be sold approximately on 08/19/2025 on NASDAQ.

How were the 588 shares acquired according to the filing?

The shares were acquired on 08/15/2025 through restricted stock vesting and payment is identified as compensation.

What recent sales by the same person are disclosed in the filing?

The filing reports sales by Martin Wilson: 587 shares on 05/20/2025 ($3,783.80), 12,109 shares on 08/14/2025 ($36,553.44), and 1,004 shares on 08/18/2025 ($3,077.46).

Who is the broker handling the proposed sale?

The broker named in the filing is Fidelity Brokerage Services LLC (900 Salem Street, Smithfield, RI).

How material are these sales relative to outstanding shares?

The filing states 107,903,871 shares outstanding; the proposed 588-share sale and the disclosed recent sales are immaterial as a percentage of that total.