Rocket Pharma counsel sells shares for RSU taxes

ROCKET PHARMACEUTICALS, INC.

Accepted by SEC EDGAR 05/14/2026 - 04:22 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. General Counsel Martin Wilson reported an open-market sale of 3,361 shares of common stock at $3.606 per share. The footnotes state the shares were sold to cover tax withholding obligations arising from the vesting of Restricted Stock Units that convert to common stock on a one-for-one basis. After this transaction, Wilson directly holds 678,639 shares, so the sale represents only a small portion of his overall position and appears tied to compensation-related taxes rather than a discretionary portfolio change.

Insider Trade Summary

Net Seller: 3,361 shares

Net Sell 1 txn

Insider Wilson Martin

Role General Counsel

Sold 3,361 shs ($12K)

Share of Position Sold 0.49%

Type	Security	Shares	Price	Value
Sale	Common Stock	3,361	$3.606	$12K

Holdings After Transaction: Common Stock — 678,639 shares (Direct)

Holdings Before and After: Common Stock, 682,000 to 678,639 shares (Direct)

Other Insiders: 3 other insiders reported open-market sales of this stock in the 30 days up to this filing.

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.

Key Figures

Shares sold: 3,361 shares Sale price per share: $3.606 per share Shares held after transaction: 678,639 shares +1 more

4 metrics

Shares sold 3,361 shares Open-market sale on 2026-05-13

Sale price per share $3.606 per share Common stock transaction price

Shares held after transaction 678,639 shares Direct holdings following sale

Net shares sold 3,361 shares Net-sell direction in transaction summary

Key Terms

Restricted Stock Units ("RSUs"), open-market sale, tax withholding obligations

3 terms

Restricted Stock Units ("RSUs") financial

"Holdings include Restricted Stock Units ("RSUs") that convert to common stock"

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

tax withholding obligations financial

"sold ... 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 insider transaction did RCKT General Counsel Martin Wilson report?

Martin Wilson reported selling 3,361 shares of Rocket Pharmaceuticals common stock. The transaction was an open-market sale at $3.606 per share, disclosed on a Form 4, and is described as related to tax obligations from RSU vesting.

Why did the RCKT insider sell 3,361 shares of common stock?

The shares were sold to pay tax withholding obligations tied to vesting Restricted Stock Units. Footnotes explain the sale’s purpose, indicating it was a compensation-related, mechanical transaction rather than a purely discretionary trade based on market views.

How many RCKT shares does Martin Wilson hold after this Form 4 sale?

After the reported sale, Martin Wilson directly holds 678,639 shares of Rocket Pharmaceuticals common stock. Footnotes add that holdings include RSUs that convert into common stock on a one-for-one basis upon vesting, expanding his effective equity exposure.

What price did the RCKT General Counsel receive for the sold shares?

The reported sale price was $3.606 per share for the 3,361 Rocket Pharmaceuticals common shares. This price appears as the transaction price per share in the Form 4 and determines the total cash proceeds used to satisfy tax withholding obligations.

Are RSUs included in the RCKT insider’s reported holdings on this Form 4?

Yes. The filing notes that Martin Wilson’s holdings include Restricted Stock Units. These RSUs convert into Rocket Pharmaceuticals common stock on a one-for-one basis as they vest, meaning his total economic stake extends beyond currently issued common shares.

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

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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 NEW JERSEY 08512

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/13/2026

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

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

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

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)	05/13/2026		S(2)		3,361	D	$3.606	678,639(1)	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	05/14/2026
	** 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.
* Form 4: SEC 1474 (03-26)