[144] Rocket Pharmaceuticals, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for proposed sale of common stock tied to restricted stock vesting. The filing shows 11,161 shares of Common stock to be sold through Fidelity Brokerage Services LLC on 08/14/2025 with an aggregate market value of $33,691.71. The shares were acquired on 08/12/2025 as Restricted Stock Vesting and paid as Compensation. The filer who sold shares in the past three months is identified as Jonathan D. Schwartz, with two prior sales on 05/16/2025 (1,582 shares for $10,326.51) and 05/20/2025 (801 shares for $5,163.25). The filing lists the issuer-related fields but does not provide the issuer name or address in the supplied content.

The filing also reports 107,903,871 shares outstanding, which makes the proposed sale approximately 0.0103% of outstanding shares based on provided figures.

Positive

• Clear disclosure of acquisition date, nature (Restricted Stock Vesting), and payment as Compensation
• Broker and execution date are specified (Fidelity Brokerage Services LLC; 08/14/2025)
• Prior insider sales in the past three months are listed with dates and gross proceeds, supporting transparency

Negative

• Issuer name and address are not provided in the supplied content, limiting completeness of the filing as presented
• Filing does not state whether a trading plan (Rule 10b5-1) applies, beyond the general representation

Insights

Securities Analyst

TL;DR: Small executive share sale from recently vested restricted stock; negligible dilution versus total shares outstanding.

The filing documents a proposed sale of 11,161 shares arising from restricted stock vesting and designated as compensation, to be executed via Fidelity on 08/14/2025. Given the stated 107,903,871 shares outstanding, the stake equals roughly 0.0103% of the outstanding base, indicating limited market impact. Prior insider sales totaling 2,383 shares in May generated $15,489.76 gross proceeds. This is a routine liquidity event commonly seen when restricted awards vest and does not, on its face, indicate material corporate change.

Corporate Governance Expert

TL;DR: Disclosure shows compliance with Rule 144 procedures for sale of vested restricted shares; no material governance signal apparent.

The notice identifies the seller as Jonathan D. Schwartz and affirms the standard representation about material nonpublic information. The transaction type and timing—vesting on 08/12/2025 and proposed sale on 08/14/2025—are explicitly disclosed. The filing lacks the issuer name in the provided content, which should be included in a complete Form 144; otherwise the document follows expected disclosure for insider sales tied to compensation vesting.

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	11161	33691.71	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			11161	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
Jonathan D. Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/16/2025	1582	10326.51
Jonathan D. Schwartz 9 Cedarbrook Drive Cranbury NJ 08512	Common	05/20/2025	801	5163.25

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 filed by Jonathan D. Schwartz for RCKT report?

The Form 144 reports a proposed sale of 11,161 shares of Common stock to be executed on 08/14/2025 through Fidelity, with aggregate market value $33,691.71.

Why were the 11,161 RCKT shares acquired and when?

The shares were acquired on 08/12/2025 through Restricted Stock Vesting and the consideration is listed as Compensation.

How much of RCKT's outstanding stock does the proposed sale represent?

Based on the filing's figures (11,161 shares vs 107,903,871 outstanding), the sale represents approximately 0.0103% of outstanding shares.

Has Jonathan D. Schwartz sold any RCKT shares recently?

Yes; the filing lists sales of 1,582 shares on 05/16/2025 for $10,326.51 and 801 shares on 05/20/2025 for $5,163.25.

Does the filing disclose the issuer name for this Form 144?

No; the provided content includes issuer-related fields but does not supply the issuer name or address in the supplied text.