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Rocket Pharmaceuticals (RCKT) CEO sells shares to cover RSU taxes

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah sold 12,279 shares of common stock at $3.312 per share on February 13, 2026 in an open-market transaction. According to the footnotes, the sale was made to cover tax withholding obligations tied to vesting restricted stock units that convert one-for-one into common shares. After this sale, Shah directly holds 1,052,045 shares, and also reports indirect holdings of 207,897 shares held by his spouse and 198,341 shares held by the Gaurav D. Shah Irrevocable Trust.

Positive

  • None.

Negative

  • None.
Insider Shah Gaurav
Role CEO
Sold 12,279 shs ($41K)
Type Security Shares Price Value
Sale Common Stock 12,279 $3.312 $41K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 1,052,045 shares (Direct); Common Stock — 207,897 shares (Indirect, By Spouse)
Footnotes (1)
  1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Shah Gaurav
(Last) (First) (Middle)
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE
(Street)
CRANBURY NJ 08512
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ROCKET PHARMACEUTICALS, INC. [ RCKT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CEO
3. Date of Earliest Transaction (Month/Day/Year)
02/13/2026
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock(1) 02/13/2026 S(2) 12,279 D $3.312 1,052,045(1) D
Common Stock 207,897 I By Spouse
Common Stock 198,341 I By Gaurav D. Shah Irrevocable Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
2. The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah 02/18/2026
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did RCKT CEO Gaurav Shah report?

Gaurav Shah reported selling 12,279 Rocket Pharmaceuticals shares. The shares were sold at $3.312 each on February 13, 2026, in an open-market transaction, primarily to satisfy tax withholding obligations from vesting restricted stock units.

Why did the RCKT CEO sell 12,279 shares of common stock?

The sale was undertaken to pay tax withholding obligations. A footnote explains the CEO sold 12,279 shares in connection with the vesting of restricted stock units, which convert to common stock on a one-for-one basis.

How many RCKT shares does the CEO hold after this transaction?

After the sale, the CEO directly holds 1,052,045 shares. The filing also reports indirect holdings of 207,897 shares held by his spouse and 198,341 shares held by the Gaurav D. Shah Irrevocable Trust.

Was the RCKT CEO’s share sale a market transaction?

Yes, the CEO’s sale was an open-market transaction. The filing labels the 12,279-share disposition as a sale in the open market or a private transaction, at a reported price of $3.312 per share on February 13, 2026.

Do the RCKT CEO’s holdings include restricted stock units (RSUs)?

Yes, the reported holdings include RSUs. A footnote states that the CEO’s holdings include restricted stock units that convert into Rocket Pharmaceuticals common stock on a one-for-one basis when they vest.

How are the RCKT CEO’s indirect share holdings structured?

The CEO reports two categories of indirect ownership. The filing lists 207,897 Rocket Pharmaceuticals shares held by his spouse and 198,341 shares held by the Gaurav D. Shah Irrevocable Trust, both classified as indirect ownership.