RCKT Form 4: Insider Sold 12,109 Shares at $3.019 to Cover RSU Taxes

Rocket Pharmaceuticals insider Martin Wilson sold 12,109 shares of common stock on 08/14/2025 at $3.019 per share to satisfy tax withholding arising from the vesting of restricted stock units (RSUs).

Rhea-AI Filing Summary

Rocket Pharmaceuticals insider Martin Wilson sold 12,109 shares of common stock on 08/14/2025 at $3.019 per share to satisfy tax withholding arising from the vesting of restricted stock units (RSUs). After the sale, the reporting person beneficially owned 137,054 shares. The Form 4 lists Mr. Wilson as General Counsel and an officer of the issuer and is signed on 08/18/2025.

Positive

• Transaction disclosed as tax-withholding related to RSU vesting, indicating the sale was a routine, plan-driven disposition.
• Form 4 provides post-transaction beneficial ownership (137,054 shares) and includes the reporting person's title (General Counsel), supporting transparency.

Negative

• Reporting person disposed of 12,109 shares, reducing direct ownership, which some investors may note even though it was for tax withholding.

Insights

Financial Analyst

TL;DR: Insider sale was a tax-withholding sale tied to RSU vesting and left the officer with 137,054 shares; impact appears routine.

The Form 4 discloses a sale of 12,109 common shares at $3.019 on 08/14/2025 explicitly to pay tax withholding for vested RSUs that convert one-for-one to common stock. The transaction reduces reported direct beneficial ownership to 137,054 shares. This is a standard, non-discretionary disposition related to compensation settlement rather than a discretionary open-market sale for liquidity. Filing appears complete and timely based on the signature date provided.

Corporate Governance Expert

TL;DR: The disclosure aligns with Rule 16 reporting norms; sale was for tax obligations tied to equity compensation.

The reporting person is identified as General Counsel and filed a Form 4 recording a Section 16 transaction. The explanation clarifies the sale was to satisfy tax withholding on RSU vesting, which is a common plan-related action. The Form 4 includes the pre- and post-transaction beneficial ownership and the signature, meeting basic governance disclosure expectations. No additional governance issues are disclosed in this filing.

Insider Trade Summary

Net Seller: 12,109 shares

Net Sell 1 txn

Insider Wilson Martin

Role General Counsel

Sold 12,109 shs ($37K)

Type	Security	Shares	Price	Value
Sale	Common Stock	12,109	$3.019	$37K

Holdings After Transaction: Common Stock — 137,054 shares (Direct)

Footnotes (2)

1. F1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
2. F2. 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Rocket Pharmaceuticals insider Martin Wilson report on Form 4?

The Form 4 reports a sale of 12,109 shares of common stock on 08/14/2025 at $3.019 per share to satisfy tax withholding from RSU vesting.

Why were the shares sold according to the filing?

The filing states the shares were sold by the reporting person to pay tax withholding obligations in connection with the vesting of RSUs that convert one-for-one into common stock.

How many Rocket Pharmaceuticals shares does the reporting person own after the transaction?

After the reported transaction the reporting person beneficially owned 137,054 shares of common stock.

What is the reporting person's role at Rocket Pharmaceuticals (RCKT)?

The Form 4 identifies the reporting person as General Counsel and an officer of Rocket Pharmaceuticals.

When was the Form 4 signed?

The Form 4 is signed by the reporting person on 08/18/2025.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 08/18/2025 - 04:35 PM EDT Learn about SEC filing dates

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^*

Wilson Martin

(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)
	General Counsel

3. Date of Earliest Transaction (Month/Day/Year)
08/14/2025

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)	08/14/2025		S(2)		12,109	D	$3.019	137,054	D

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 Louis Wilson	08/18/2025
	** 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 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.