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RCKT Form 4: General Counsel sold shares to cover RSU tax withholding

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Martin L. Wilson, General Counsel and officer of Rocket Pharmaceuticals, reported sales of common stock tied to vested restricted stock units. On 08/18/2025 he sold 1,004 shares at $3.065 and on 08/19/2025 he sold 588 shares at $2.996 to satisfy tax withholding for RSU vesting. After these transactions he beneficially owned 135,462 shares. The filing notes RSUs convert one-for-one into common stock and that the sales were made specifically to cover tax obligations related to vesting.

Positive

  • None.

Negative

  • None.

Insights

Insider sold shares to satisfy RSU tax withholding; ongoing ownership remains in place.

The reported sales are routine and tied to compensation mechanics rather than open-market disposals for diversification. The filing discloses that RSUs convert one-for-one and that shares were sold solely to cover tax withholding obligations, which aligns with common practice for executives. Remaining beneficial ownership of 135,462 shares retains potential alignment with shareholder interests, though the filing does not state total outstanding percentage, limiting assessment of influence.

Small, non-discretionary insider sales; limited informational value for valuation.

The transactions total 1,592 shares across two days at ~ $3.03 average, a modest volume that appears administrative. Because proceeds were used for tax withholding on vested RSUs, this does not indicate a change in confidence. The form lacks broader context on total insider holdings as a percentage of outstanding shares, so market impact is likely negligible.

Insider Wilson Martin
Role General Counsel
Sold 1,592 shs ($5K)
Type Security Shares Price Value
Sale Common Stock 588 $2.996 $2K
Sale Common Stock 1,004 $3.065 $3K
Holdings After Transaction: Common Stock — 135,462 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*
Wilson Martin
(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)
General Counsel
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)
Code V Amount (A) or (D) Price
Common Stock(1) 08/18/2025 S(2) 1,004 D $3.065 136,050 D
Common Stock(1) 08/19/2025 S(2) 588 D $2.996 135,462 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 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

FAQ

What transactions did Martin L. Wilson report on Form 4 for RCKT?

He reported sales of 1,004 shares on 08/18/2025 at $3.065 and 588 shares on 08/19/2025 at $2.996.

Why were the shares sold according to the filing?

The filing states the shares were sold to pay tax withholding obligations in connection with RSUs vesting.

How many shares does the reporting person own after the transactions?

Following the reported transactions, the reporting person beneficially owned 135,462 shares.

What is the reporting person’s role at Rocket Pharmaceuticals (RCKT)?

The reporting person is listed as General Counsel and an officer of the issuer.

Do the holdings include restricted stock units (RSUs)?

Yes. The filing explains holdings include RSUs that convert one-for-one into common stock.