[Form 3] ROCKET PHARMACEUTICALS, INC. Initial Statement of Beneficial Ownership

Rhea-AI Filing Summary

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.

Positive

• Disclosure of executive role: The filing identifies Syed Ali-aamir Rizvi as Chief Medical Officer, establishing governance transparency

Negative

• None.

Insights

Corporate Governance Expert

TL;DR: New officer disclosed with no current equity stake; routine initial ownership filing.

The filing shows a newly reported officer role for Syed Ali-aamir Rizvi as Chief Medical Officer without any beneficial ownership of company securities at the time of reporting. From a governance perspective, an initial Form 3 that discloses an executive appointment but records zero ownership is informational and routine. It signals the company has updated its Section 16 records; however, it provides no information on compensation, equity grants, or planned transactions that would further affect stakeholder interests.

Securities Compliance Analyst

TL;DR: Compliance filing appears complete for an initial statement; no material securities holdings disclosed.

The Form 3 identifies the reporting person, relationship to the issuer, the date of the triggering event (09/15/2025), and contains a signed certification via power of attorney. It explicitly states that no securities are beneficially owned. For Section 16 monitoring, this establishes a baseline: future Form 4 filings would be expected if and when equity awards or trades occur. There are no indications in this filing of any outstanding derivative or non-derivative holdings to review for short-swing profit rules.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Rizvi Syed Ali-aamir

(Last) (First) (Middle)

C/O ROCKET PHARMACEUTICALS, INC.

9 CEDARBROOK DRIVE

(Street)

CRANBURY NJ 08512

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/15/2025

3. Issuer Name and Ticker or Trading Symbol
ROCKET PHARMACEUTICALS, INC. [ RCKT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Chief Medical Officer. Exhibit 24: Power of Attorney

No securities are beneficially owned.

	/s/ Martin Wilson, as attorney-in-fact for Syed Ali-aamir Rizvi	09/22/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What does the Form 3 filed for RCKT disclose?

The Form 3 discloses that Syed Ali-aamir Rizvi is reported as Chief Medical Officer and that no securities are beneficially owned at the time of filing.

When is the event date that triggered the Form 3 for Syed Ali-aamir Rizvi?

The event date requiring the Form 3 is listed as 09/15/2025.

Who signed the Form 3 for Syed Ali-aamir Rizvi and when?

The form is signed by Martin Wilson, as attorney-in-fact for Syed Ali-aamir Rizvi on 09/22/2025.

Does the filing report any equity holdings or derivative securities for the reporting person?

No. The filing explicitly states no securities are beneficially owned and lists no derivative or non-derivative holdings.

Which company and ticker are referenced in the Form 3?

The issuer named in the filing is ROCKET PHARMACEUTICALS, INC. (RCKT).