Rocket Pharmaceu SEC Filings

Insider equity awards and option grants were recorded for Rocket Pharmaceuticals (RCKT). The reporting person, the company’s Chief Medical Officer, was issued 283,018 restricted stock units (RSUs) that convert one-for-one to common shares and an additional 62,893 RSUs, for a total beneficial ownership of 345,911 shares after the transactions. The filing also shows a grant of 383,854 non-qualified stock options exercisable at $3.18 per share with an exercisable start on 10/06/2028 and expiration on 10/06/2035.

Vesting schedules are time-based: one-third of the larger RSU and option awards vest on 10/06/2026, with the remainder vesting quarterly over two years; the smaller RSU award vests half on 10/06/2026 and fully by the second anniversary. All vesting is subject to continued employment.

Peter Fong, a director of Rocket Pharmaceuticals, Inc. (RCKT), reported equity awards on a Form 4 filed for transactions dated 09/24/2025. The filing shows two grants of restricted stock units (RSUs): 23,333 RSUs that convert one-for-one to common stock and vest in full on 09/24/2026, and 30,000 RSUs that begin vesting monthly over a three-year period following 09/23/2025. Both grants are recorded with a reported price of $0, indicating they were awards rather than open-market purchases. The Form 4 was signed by an attorney-in-fact on 10/03/2025. The filing discloses current beneficial ownership totals of 23,333 and 53,333 shares following the respective transactions.

Rocket Pharmaceuticals (RCKT) director Peter Fong filed a Form 3, the initial statement of beneficial ownership. The filing states that no securities are beneficially owned. The reported event date is 09/24/2025, and the form was signed by attorney-in-fact John Militello.

This is a routine Section 16 compliance filing that establishes the insider’s baseline ownership at the time of becoming a reporting person.

Rocket Pharmaceuticals reported a board change. Director Pedro Granadillo resigned from the Board of Directors, effective September 30, 2025. The company stated that his decision did not involve any disagreement on matters related to operations, policies, or practices.

Rocket Pharmaceuticals, Inc. announced it voluntarily withdrew its U.S. Biologics License Application for mozafancogene autotemcel (RP-L102 / Fanskya) on October 3, 2025. The company stopped new internal investment in RP-L102 in July 2025 and also withdrew its MAA with the EMA in July 2025, citing a corporate prioritization to focus resources on programs with clearer regulatory and commercial paths. Rocket said the withdrawal reflects business and strategic considerations and does not reflect safety or efficacy concerns; it stated that data to date show RP-L102 has been generally well tolerated with no significant safety signals. The company will consider external partnerships and reserves the ability to re-engage regulators later if a sustainable pathway emerges.

Rocket Pharmaceuticals, Inc. (RCKT) disclosed the appointment of Dr. Fong to its board of directors in a current report. The filing states there are no arrangements or understandings between Dr. Fong and any other person regarding the appointment, no family relationships between Dr. Fong and company officers or directors, and no related person transactions as defined under Regulation S-K. The notice is brief and limited to governance disclosures; it confirms the director addition and the absence of conflicts or reportable transactions, giving investors a clear, administrative update on the board composition and compliance with related‑party disclosure rules.

RTW Investments, LP and Roderick Wong, M.D. filed a Form 4 reporting settlement of multiple equity swaps and related transactions in Rocket Pharmaceuticals (RCKT). On 09/19/2025 three previously disclosed equity swaps expired and settled, resulting in the conversion/settlement of positions tied to 1,000,000, 41,000, and 59,000 shares at specified reference prices. The Form shows simultaneous acquisitions and dispositions tied to those settlements but states the aggregate beneficial ownership did not change after settlement. The filing also discloses 47,667 restricted stock units held by Dr. Wong that convert one-for-one to common stock and will vest in full on June 18, 2026. The Adviser and Dr. Wong disclaim beneficial ownership except to the extent of any pecuniary interest.

Rocket Pharmaceuticals, Inc. (RCKT) Form 3 reports an initial Section 16 filing for Syed Ali-aamir Rizvi. The filing identifies Mr. Rizvi as Chief Medical Officer and provides his business address at Rocket Pharmaceuticals' Cranbury, NJ location. The event date triggering the filing is 09/15/2025, and the form states no securities are beneficially owned by the reporting person at this time. The document is signed by an attorney-in-fact on behalf of Mr. Rizvi on 09/22/2025.

Rocket Pharmaceuticals announced the separation of Dr. Kinnari Patel and related consulting arrangements. Under a Separation and Release Agreement dated September 11, 2025, Dr. Patel will receive her salary and benefits through December 31, 2025, payment for accrued unused paid time off, a lump sum severance payment of $482,040 conditioned on signing a release within seven days, and a lump sum healthcare allowance of $30,045 to cover approximately ten months of COBRA premiums. Concurrently, the company entered a Consulting Agreement effective after the release revocation period and continuing through December 31, 2026, under which Dr. Patel will provide general consulting services for an aggregate retainer of $582,156. The Consulting Agreement preserves her restricted stock units and options during the consulting period. The Separation and Consulting Agreements are filed as Exhibits 10.1 and 10.2 and are incorporated by reference.