Form 4: Shah Gaurav reports acquisition/exercise transactions in RCKT

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Shah Gaurav reported acquisition or exercise transactions in a Form 4 filing for RCKT. The filing lists transactions totaling 1,156,676 shares. Following the reported transactions, holdings were 870,648 shares.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Shah Gaurav

Role CEO

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (Right to Buy)	870,648	$0.00	--
Grant/Award	Common Stock	286,028	$0.00	--
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Stock Option (Right to Buy) — 870,648 shares (Direct); Common Stock — 1,064,324 shares (Direct); Common Stock — 207,897 shares (Indirect, By Spouse)

Footnotes (1)

Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. Represents RSUs, one-third (1/3) of which will become fully vested on February 11, 2027, with the remaining shares vesting in equal quarterly installments over the following two years. This option represents a right to purchase a total of 870,648 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on February 11, 2027, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

Form 4 Insider Transactions: What Each Field Means →

02/13/2026 - 04:05 PM

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

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)
02/11/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock⁽¹⁾	02/11/2026		A		286,028⁽²⁾	A	$0	1,064,324⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (Right to Buy)	$3.24	02/11/2026		A		870,648		⁽³⁾	02/11/2036	Common Stock	870,648	$0	870,648	D

Explanation of Responses:

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

2. Represents RSUs, one-third (1/3) of which will become fully vested on February 11, 2027, with the remaining shares vesting in equal quarterly installments over the following two years.

3. This option represents a right to purchase a total of 870,648 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on February 11, 2027, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

	/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah	02/13/2026
	** 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 transactions did Rocket Pharmaceuticals (RCKT) report for its CEO?

Rocket Pharmaceuticals reported that CEO Gaurav Shah received new equity awards, including restricted stock units and stock options. These awards increase his direct and indirect exposure to the company’s common stock, aligning his compensation more closely with long-term shareholder value.

How many Rocket Pharmaceuticals (RCKT) shares were granted to the CEO on February 11, 2026?

On February 11, 2026, CEO Gaurav Shah was granted 286,028 shares of common stock in the form of restricted stock units. These units convert one-for-one into common shares as they vest, adding to his existing direct ownership position in Rocket Pharmaceuticals.

What stock option grant did the Rocket Pharmaceuticals (RCKT) CEO receive?

CEO Gaurav Shah received a stock option covering 870,648 shares of Rocket Pharmaceuticals common stock with an exercise price of $3.24. This option gives him the right to buy shares at that price once the vesting and exercisability conditions are satisfied over time.

How do the Rocket Pharmaceuticals (RCKT) CEO’s new RSUs vest?

The 286,028 RSUs granted to CEO Gaurav Shah vest over three years. One-third becomes fully vested on February 11, 2027, and the remaining shares vest in equal quarterly installments over the following two years, encouraging longer-term retention and performance.

What is the vesting schedule for the Rocket Pharmaceuticals (RCKT) CEO’s new stock option?

The stock option for 870,648 shares vests in stages tied to continued employment. One-third becomes fully vested and exercisable on February 11, 2027, with the remaining two-thirds vesting in equal quarterly installments over the next two years, incentivizing long-term commitment.

What are the Rocket Pharmaceuticals (RCKT) CEO’s direct and indirect shareholdings after these grants?

After the reported grants, CEO Gaurav Shah directly owns 1,064,324 shares of Rocket Pharmaceuticals common stock. Indirectly, 207,897 shares are held by his spouse and 198,341 shares by the Gaurav D. Shah Irrevocable Trust, reflecting additional beneficial interests.