RCKT Form 4: Chief Medical Officer Sells 11,161 Shares to Cover Taxes

Rhea-AI Filing Summary

Jonathan David Schwartz, Chief Medical & Gene Therapy Officer of Rocket Pharmaceuticals, Inc. (RCKT), reported a sale of 11,161 shares of common stock on 08/14/2025 at a reported price of $3.019 per share. The Form 4 shows Schwartz held 224,094 shares following the transaction. The filing states the sold shares were disposed to satisfy tax withholding obligations in connection with the vesting of Restricted Stock Units that convert one-for-one into common stock. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person on 08/18/2025.

Insights

Financial Analyst

TL;DR: A routine insider sale of vested RSU shares to cover taxes; not a material change to ownership.

The transaction is explicitly described as a sale to satisfy tax withholding upon RSU vesting, indicating a non-discretionary, administrative sale rather than an opportunistic divestiture. The number sold, 11,161 shares, reduced post-transaction holdings to 224,094 shares. For investors, this action signals routine compensation mechanics and continued substantial ownership by the reporting person. No options, derivative transactions, or new grants are reported in this Form 4.

Corporate Governance Expert

TL;DR: Filing demonstrates compliance with Section 16 reporting and documents tax-related disposition of vested RSUs.

The Form 4 discloses the nature of the disposition and includes the reporter's title and the attorney-in-fact signature, meeting disclosure formalities. The explicit remark that shares were sold to pay tax withholding obligations clarifies the intent and supports customary insider reporting practices. There is no indication of unusual timing or related-party transactions in this filing.

Insider Trade Summary

Net Seller: 11,161 shares ($33,695)

Net Sell 1 txn

Insider Schwartz Jonathan David

Role See Remarks

Sold 11,161 shs ($34K)

Type	Security	Shares	Price	Value
Sale	Common Stock	11,161	$3.019	$34K

Holdings After Transaction: Common Stock — 224,094 shares (Direct)

Footnotes (1)

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

Form 4 Insider Transactions: What Each Field Means →

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 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)
	See Remarks

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)		11,161	D	$3.019	224,094	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.

Remarks:

Chief Medical & Gene Therapy Officer

	/s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz	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.

FAQ

What did Jonathan David Schwartz report on Form 4 for RCKT?

The Form 4 reports a sale of 11,161 shares of Rocket Pharmaceuticals common stock on 08/14/2025 at $3.019 per share.

Why were the 11,161 RCKT shares sold by the reporting person?

The filing states the shares were sold to pay tax withholding obligations related to the vesting of Restricted Stock Units that convert one-for-one into common stock.

How many RCKT shares does Jonathan David Schwartz own after the transaction?

The Form 4 shows 224,094 shares beneficially owned following the reported transaction.

What is Jonathan David Schwartz’s role at Rocket Pharmaceuticals?

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

When was the Form 4 signed and who signed it?

The Form 4 bears the signature of Martin Wilson, as attorney-in-fact for Jonathan David Schwartz, dated 08/18/2025.