RCKT Form 4: Director Peter Fong Granted 23,333 and 30,000 RSUs

Rhea-AI Filing Summary

Peter Fong, a director of Rocket Pharmaceuticals, Inc. (RCKT), reported equity awards on a Form 4 filed for transactions dated 09/24/2025. The filing shows two grants of restricted stock units (RSUs): 23,333 RSUs that convert one-for-one to common stock and vest in full on 09/24/2026, and 30,000 RSUs that begin vesting monthly over a three-year period following 09/23/2025. Both grants are recorded with a reported price of $0, indicating they were awards rather than open-market purchases. The Form 4 was signed by an attorney-in-fact on 10/03/2025. The filing discloses current beneficial ownership totals of 23,333 and 53,333 shares following the respective transactions.

Positive

• 23,333 RSUs vesting in full on 09/24/2026 aligns director incentives with long‑term performance
• 30,000 RSUs vesting monthly over three years from 09/23/2025 supports retention through a multi‑year period
• Awards reported as $0 indicate standard time‑based RSU grants rather than purchased shares

Negative

• None.

Insights

Corporate Governance Expert

Board compensation granted as time‑based RSUs.

The filing shows the director received time‑based equity rather than cash, aligning pay with continued service through 09/24/2026 and the three‑year vesting period starting 09/23/2025.

This structure ties long‑term retention to future performance of RCKT and schedules dilution over time as RSUs vest into common shares.

Equity Compensation Analyst

Total reported RSUs equal 53,333 awards converting one‑for‑one to common stock.

Both grants are recorded at $0, consistent with standard restricted stock unit awards. One grant vests fully on 09/24/2026; the other vests monthly over three years after 09/23/2025, creating staged share issuance.

The timing and size are explicit in the Form 4 but the filing does not disclose relative percentage ownership or grant rationale.

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^*

Fong Peter

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
09/24/2025

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	09/24/2025		A(1)		23,333(1)	A	$0(1)	23,333	D
Common Stock	09/24/2025		A(2)		30,000(2)	A	$0(2)	53,333	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. Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on September 24, 2026.

2. Represents RSUs that will vest in equal monthly installments over a three-year period following September 23, 2025.

	/s/ John Militello, as attorney-in-fact for Peter Fong	10/03/2025
	** 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.

FAQ

What did Peter Fong report on the Form 4 for RCKT?

The Form 4 reports two RSU grants: 23,333 RSUs vesting in full on 09/24/2026 and 30,000 RSUs vesting monthly over three years after 09/23/2025.

How many shares will the reported RSUs convert into?

The RSUs convert one‑for‑one into common stock, totaling 53,333 underlying shares when fully vested.

What price was reported for the RSU transactions?

Both RSU grants are reported with a transaction price of $0, indicating they were awarded rather than purchased.

When was the Form 4 signed and filed?

The Form 4 shows the transactions dated 09/24/2025 and was signed by an attorney‑in‑fact on 10/03/2025.

Does the Form 4 disclose exercisability or expiration terms for derivatives?

No derivative exercisability or expiration terms are disclosed; the filing covers time‑based RSUs that convert to common stock on stated vesting dates.