Rocket Pharmaceuticals Insider Sells 2,485 Shares After RSU Vesting

Q: Why did Jonathan D. Schwartz sell RCKT shares on 08/18 and 08/19/2025?

The Form 4 states the shares were sold to satisfy tax withholding obligations associated with the vesting of RSUs.

Q: How many Rocket Pharmaceuticals (RCKT) shares did Schwartz own after these transactions?

The filing reports 222,414 shares following the 08/18 sale and 221,609 shares following the 08/19 sale.

Q: What prices were achieved in the reported sales of RCKT stock?

The filing shows sales of 1,680 shares at $3.065 on 08/18/2025 and 805 shares at $2.996 on 08/19/2025.

Q: What type of holdings did the Form 4 disclose for Schwartz?

The Form 4 explains holdings include Restricted Stock Units (RSUs) that convert to common stock on a one-for-one basis.

Q: What is Jonathan Schwartz's role at Rocket Pharmaceuticals?

The filing lists his title as Chief Medical & Gene Therapy Officer.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Jonathan David Schwartz, Chief Medical & Gene Therapy Officer at Rocket Pharmaceuticals (RCKT), reported two open-market transactions tied to vested restricted stock units. On 08/18/2025 he sold 1,680 shares at $3.065 per share and on 08/19/2025 he sold 805 shares at $2.996 per share; the filings state these sales were made to satisfy tax withholding obligations related to RSU vesting.

His beneficial ownership after the 08/18 transaction was reported as 222,414 shares and after the 08/19 transaction as 221,609 shares. The Form 4 was signed by an attorney-in-fact on 08/20/2025 and notes that his holdings include RSUs that convert one-for-one to common stock.

Positive

Sales were explicitly for tax withholding related to RSU vesting, indicating a routine administrative purpose.
Reporting shows continued significant ownership (221,609 shares after transactions), maintaining alignment with shareholders.
Form 4 was filed and signed promptly (attorney-in-fact signature dated 08/20/2025), reflecting compliance with disclosure rules.

Negative

Insider disposed of 2,485 shares across two days, reducing beneficial ownership from 222,414 to 221,609 shares.
Sales occurred at low share prices ($3.065 and $2.996), which may reflect current market valuation though no market context is provided.

Insights

Insider sold shares to cover RSU tax withholding; ownership remains material and sale appears routine.

The transactions are explicitly identified as sales to satisfy tax withholding on vested RSUs rather than discretionary cash-raising or strategic divestment. The amounts are modest relative to typical director/executive holdings, reflecting administrative settlement of compensation-related tax obligations rather than a change in investment stance. Reporting shows continued beneficial ownership above 221,000 shares, which preserves alignment with shareholders.

Compliance filing shows routine execution under compensation plan; no governance red flags disclosed.

The Form 4 discloses the reporter's officer role and the mechanics: RSUs converting one-for-one and share sales used for tax withholding. The filing was made promptly and signed by an attorney-in-fact, meeting Section 16 reporting norms. There are no indications of unusual timing or related-party transactions in the provided content.

Insider Trade Summary

Net Seller: 2,485 shares

Net Sell 2 txns

Insider Schwartz Jonathan David

Role See Remarks

Sold 2,485 shs ($8K)

Type	Security	Shares	Price	Value
Sale	Common Stock	805	$2.996	$2K
Sale	Common Stock	1,680	$3.065	$5K

Holdings After Transaction: Common Stock — 221,609 shares (Direct)

Footnotes (2)

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

Why did Jonathan D. Schwartz sell RCKT shares on 08/18 and 08/19/2025?

The Form 4 states the shares were sold to satisfy tax withholding obligations associated with the vesting of RSUs.

How many Rocket Pharmaceuticals (RCKT) shares did Schwartz own after these transactions?

The filing reports 222,414 shares following the 08/18 sale and 221,609 shares following the 08/19 sale.

What prices were achieved in the reported sales of RCKT stock?

The filing shows sales of 1,680 shares at $3.065 on 08/18/2025 and 805 shares at $2.996 on 08/19/2025.

What type of holdings did the Form 4 disclose for Schwartz?

The Form 4 explains holdings include Restricted Stock Units (RSUs) that convert to common stock on a one-for-one basis.

What is Jonathan Schwartz's role at Rocket Pharmaceuticals?

The filing lists his title as Chief Medical & Gene Therapy Officer.

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

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 08/20/2025 - 05:00 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^*

Schwartz Jonathan David

(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)
	See Remarks

3. Date of Earliest Transaction (Month/Day/Year)
08/18/2025

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)
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⁾	08/18/2025		S⁽²⁾		1,680	D	$3.065	222,414	D
Common Stock⁽¹⁾	08/19/2025		S⁽²⁾		805	D	$2.996	221,609	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)
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)

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.

Remarks:

Chief Medical & Gene Therapy Officer

	/s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz	08/20/2025
	** 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.

Source: View Original Filing on SEC EDGAR