[144] Rocket Pharmaceuticals, Inc. SEC Filing

Rhea-AI Filing Summary

Rocket Pharmaceuticals (RCKT) Form 144 notice shows an insider plans to sell 805 shares of common stock through Fidelity on 08/19/2025. The shares were acquired on 08/15/2025 by restricted stock vesting and paid as compensation. The filing discloses prior sales by Jonathan Schwartz: 801 shares on 05/20/2025 for $5,163.25, 11,161 shares on 08/14/2025 for $33,691.71, and 1,680 shares on 08/18/2025 for $5,149.54. The notice includes the required representation that the signer is unaware of undisclosed material adverse information.

Positive

• Clear disclosure of the planned sale date, broker, and number of shares (805) provides transparency
• Acquisition source stated as restricted stock vesting, clarifying the reason for ownership
• Prior sales fully reported with dates and gross proceeds, supporting regulatory compliance

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider sale notice for recently vested shares; disclosed prior transactions increase transparency but are small versus outstanding shares.

The Form 144 documents a proposed sale of 805 shares acquired through restricted stock vesting and intended to be executed on 08/19/2025 via Fidelity. Prior reported disposals total 13,642 shares across May and August 2025 with aggregate gross proceeds of approximately $44,004. The filing supplies standard certifications about material nonpublic information. Relative to the reported outstanding share count of 107,903,871, these transactions are de minimis and appear procedural rather than material to valuation.

Corporate Governance Expert

TL;DR: Disclosure is compliant and timely; vesting-origin of shares signals compensation-related liquidity rather than policy breaches.

The notice identifies the securities as compensation from restricted stock vesting dated 08/15/2025 and confirms the signer’s legal attestation regarding undisclosed material information. The inclusion of multiple recent sale entries and broker details demonstrates adherence to Rule 144 disclosure practices. There is no statement in the filing indicating any governance or compliance concerns.

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	805	2411.94	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			805	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
Jonathan Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/20/2025	801	5163.25
Jonathan Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/14/2025	11161	33691.71
Jonathan Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	08/18/2025	1680	5149.54

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 filing proposes sale of 805 shares of common stock to be sold on 08/19/2025 through Fidelity Brokerage Services.

How were the 805 shares acquired according to the filing?

The shares were acquired on 08/15/2025 via restricted stock vesting and were paid as compensation on that date.

What prior insider sales are disclosed in this filing?

The filing reports sales by Jonathan Schwartz of 801 shares on 05/20/2025 for $5,163.25, 11,161 shares on 08/14/2025 for $33,691.71, and 1,680 shares on 08/18/2025 for $5,149.54.

Does the filing state any undisclosed material information about Rocket Pharmaceuticals?

By signing, the person represents they do not know any material adverse information

What broker is handling the proposed sale?

The sale is to be executed through Fidelity Brokerage Services LLC, 900 Salem Street, Smithfield, RI.