[8-K] Rocket Pharmaceuticals, Inc. Reports Material Event

Rhea-AI Filing Summary

Item 2.02: On August 7, 2025 Rocket Pharmaceuticals, Inc. announced preliminary financial information for the quarter ended June 30, 2025 via a press release furnished as Exhibit 99.1. The filing states the exhibit is furnished, not filed under Item 2.02 and therefore not subject to Section 18 liability.

Item 5.02: Effective December 31, 2025, Dr. Kinnari Patel will leave the Company to join RTW Investments LP as a venture partner. As of August 8, 2025 she no longer serves as President, Head of Research and Development and will assist in transitioning her duties to other executives. Exhibits include the press release (99.1) and Inline XBRL cover page (104). The report is signed by Martin Wilson on August 7, 2025.

Positive

• Disclosure of preliminary Q2 2025 results via Exhibit 99.1 demonstrates timely investor communication
• Advance notice and transition plan for the President, Head of R&D role (effective Dec 31, 2025) reduces abrupt governance risk

Negative

• Departure of Dr. Kinnari Patel, President, Head of Research and Development, may affect R&D continuity
• No financial metrics or quantitative results are included in the 8-K text; investors must refer to Exhibit 99.1 for details

Insights

Financial Analyst

TL;DR: Preliminary Q2 2025 results were furnished but no metrics provided; executive departure announced with transition timeline.

As presented, the 8-K furnishes a press release with preliminary Q2 2025 financial information but does not include revenues, EPS, guidance, or other metrics in the filing text, limiting immediate financial assessment. The announcement of Dr. Kinnari Patel's departure is material from an R&D leadership perspective, but the company provided an explicit effective date (Dec 31, 2025) and an interim transition plan (no longer serving as of Aug 8, 2025), which partially mitigates short-term operational uncertainty. Impact assessment: not impactful to valuations until the furnished press release discloses quantitative results or additional governance actions.

Corporate Governance Expert

TL;DR: Leadership change announced with notice and transition support; governance disclosure meets Form 8-K requirements.

The filing complies with Item 5.02 by disclosing the departure, effective date, and the executive's next role at RTW Investments LP. The staged transition (no longer performing the role as of Aug 8, 2025 while remaining effective until Dec 31, 2025) indicates planned succession activity rather than an abrupt exit. The filing also properly furnishes a press release under Item 2.02 and lists exhibits. From a governance standpoint, disclosures are adequate, but investors will likely view materiality as contingent on the forthcoming financial details in Exhibit 99.1. Impact assessment: not impactful pending substantive financial metrics or succession details.

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): August 4, 2025

Rocket Pharmaceuticals, Inc.

(Exact name of registrant as specified in its charter)

Delaware	001-36829	04-3475813
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

9 Cedarbrook Drive, Cranbury, NJ		08512
(Address of principal executive offices)		(Zip Code)

Registrant’s telephone number, including area code: (646) 440-9100

Not applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2):

☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common stock, $0.01 par value	RCKT	The Nasdaq Global Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 2.02. Results of Operations and Financial Condition.

On August 7, 2025, Rocket Pharmaceuticals, Inc. (the “Company”) announced certain preliminary financial information for the quarter ended June 30, 2025. A copy of the press release is being furnished as Exhibit 99.1 to this Current Report on Form 8-K.

The information in this Item 2.02 and Exhibit 99.1 attached hereto is intended to be furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such filing.

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Effective December 31, 2025, Dr. Kinnari Patel will be leaving the Company to accept a role as a venture partner at RTW Investments LP. As of August 8, 2025, Dr. Patel will no longer serve in the role as President, Head of Research and Development and will assist in transitioning her duties to other executives at the Company.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

99.1	Press Release of Rocket Pharmaceuticals, Inc. dated August 7, 2025.
104	Cover Page Interactive Data File (embedded within the Inline XBRL document).

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

	Rocket Pharmaceuticals, Inc.
Date: August 7, 2025	By:	/s/ Martin Wilson
		Martin Wilson
		General Counsel and Chief Corporate Officer, SVP

FAQ

What did Rocket Pharmaceuticals (RCKT) disclose in the 8-K dated August 7, 2025?

The company furnished a press release with preliminary financial information for the quarter ended June 30, 2025 (Exhibit 99.1) and disclosed an executive departure under Item 5.02.

When is Dr. Kinnari Patel's departure effective and what is her next role?

Her departure is effective December 31, 2025; she will accept a role as a venture partner at RTW Investments LP.

Does Dr. Patel remain in her role immediately after the announcement?

As of August 8, 2025 Dr. Patel will no longer serve in the role of President, Head of Research and Development and will assist in transitioning duties.

Is the preliminary financial information in the 8-K considered 'filed'?

No, the 8-K states the information and Exhibit 99.1 are furnished, not filed, and thus not subject to Section 18 liability.

What exhibits are included with this Form 8-K?

Exhibit 99.1 is the press release dated August 7, 2025 and Exhibit 104 is the Inline XBRL cover page.

Who signed the Form 8-K and when?

The report was signed by Martin Wilson, General Counsel and Chief Corporate Officer, SVP, on August 7, 2025.