[144] Rocket Pharmaceuticals, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 for Rocket Pharmaceuticals, Inc. (RCKT) reports a proposed sale of 7,043 common shares through Fidelity Brokerage Services with an approximate aggregate market value of $21,260.70, and an approximate sale date of 08/14/2025 on NASDAQ. These shares were acquired on 08/12/2025 by restricted stock vesting from the issuer as compensation. The filing lists total shares outstanding of 107,903,871.

The notice also discloses two prior sales by the same person during the past three months: 655 shares on 05/16/2025 for $4,275.51 and 357 shares on 05/20/2025 for $2,301.22. The filer affirms they are not aware of any undisclosed material adverse information about the issuer.

Positive

• Complete Rule 144 disclosure including acquisition date, nature of acquisition, broker, and sale date
• Securities were acquired as restricted stock vesting and identified as compensation, clarifying the origin of the shares

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine Rule 144 notice of an insider selling recently vested compensation shares; transaction size appears modest relative to shares outstanding.

The filing documents a proposed sale of 7,043 common shares acquired by restricted stock vesting two days earlier and designated as compensation. The sale is routed through Fidelity with an aggregate market value of $21,260.70 and an anticipated execution on 08/14/2025. Prior small dispositions in May 2025 are disclosed, consistent with typical insider liquidity activity. There are no indications in the form of material undisclosed events; the filer explicitly represents no knowledge of undisclosed adverse information. Given the reported outstanding share count of 107,903,871, the disclosed sale size is immaterial to capitalization metrics.

Corporate Governance Expert

TL;DR: Disclosure follows Rule 144 requirements and includes the required acquisition and prior-sale details; governance implications appear routine.

The notice provides the acquisition date, nature (restricted stock vesting), payment characterization (compensation), broker details, and recent sale history, meeting standard disclosure expectations for Rule 144 transactions. The filer also includes the statutory representation regarding material nonpublic information. There is no mention of a trading plan or 10b5-1 adoption date in the remarks, so the sale appears to be a standard post-vesting disposition rather than under a pre-established plan, based on the content provided.

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	7043	21260.70	107903871	08/14/2025	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	08/12/2025	Restricted Stock Vesting	Issuer			7043	08/12/2025	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
John Militello 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/16/2025	655	4275.51
John Militello 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/20/2025	357	2301.22

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 shares of RCKT are proposed for sale in this Form 144?

The form reports a proposed sale of 7,043 shares of Rocket Pharmaceuticals common stock.

When is the approximate sale date and through which broker will the RCKT shares be sold?

The approximate sale date is 08/14/2025 and the broker is Fidelity Brokerage Services LLC.

How were the 7,043 RCKT shares acquired?

The shares were acquired on 08/12/2025 via restricted stock vesting from the issuer and paid as compensation.

What prior RCKT sales by the same person are disclosed in the past three months?

Two prior sales are disclosed: 655 shares on 05/16/2025 for $4,275.51, and 357 shares on 05/20/2025 for $2,301.22.

What is the aggregate market value and total shares outstanding reported in the filing?

Aggregate market value of the proposed sale is $21,260.70; the filing lists 107,903,871 shares outstanding.