Rocket Pharmaceuticals (RCKT) insider sale covers RSU tax obligations

Rhea-AI Filing Summary

ROCKET PHARMACEUTALS, INC. insider Sarbani Chaudhuri reported an open-market sale of 17,650 shares of common stock at $3.838 per share on May 7, 2026. According to the disclosure, the shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units (RSUs). After this transaction, Chaudhuri holds 267,510 shares of common stock, which includes RSUs that convert into common stock on a one-for-one basis.

Insider Trade Summary

Net Seller: 17,650 shares ($67,741)

Net Sell 1 txn

Insider Chaudhuri Sarbani

Role See Remarks

Sold 17,650 shs ($68K)

Type	Security	Shares	Price	Value
Sale	Common Stock	17,650	$3.838	$68K

Holdings After Transaction: Common Stock — 267,510 shares (Direct, null)

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.

Key Figures

Shares sold: 17,650 shares Sale price: $3.838 per share Post-transaction holdings: 267,510 shares +1 more

4 metrics

Shares sold 17,650 shares Open-market sale on May 7, 2026

Sale price $3.838 per share Common stock transaction price

Post-transaction holdings 267,510 shares Common stock including RSUs after sale

Net share change -17,650 shares Net-sell direction in this Form 4

Key Terms

Restricted Stock Units ("RSUs"), open-market sale, tax withholding obligations, one-for-one basis, +1 more

5 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 by the Reporting Person in order to pay tax withholding obligations"

one-for-one basis financial

"RSUs that convert to common stock on a one-for-one basis"

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

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^*

Chaudhuri Sarbani

(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)
	See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/07/2026

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)	05/07/2026		S(2)		17,650	D	$3.838	267,510(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.

Remarks:

Chief Commercial & Medical Affairs Officer

	/s/ Martin Wilson, as attorney-in-fact for Sarbani Chaudhuri	05/11/2026
	** 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)

FAQ

What insider transaction did RCKT officer Sarbani Chaudhuri report?

Sarbani Chaudhuri reported selling 17,650 shares of Rocket Pharmaceuticals common stock. The sale occurred on May 7, 2026 at $3.838 per share and was disclosed as an open-market transaction used to satisfy tax withholding obligations from RSU vesting.

Why did Sarbani Chaudhuri sell Rocket Pharmaceuticals (RCKT) shares?

The filing states Chaudhuri sold Rocket Pharmaceuticals shares to pay tax withholding obligations. These obligations arose when restricted stock units (RSUs) vested, and the transaction was used to cover the related taxes rather than reflecting a discretionary portfolio reallocation.

How many Rocket Pharmaceuticals shares did Chaudhuri sell and at what price?

Chaudhuri sold 17,650 shares of Rocket Pharmaceuticals common stock at $3.838 per share. This open-market sale was specifically linked in the footnotes to covering tax withholding obligations that resulted from the vesting of previously granted restricted stock units.

How many Rocket Pharmaceuticals (RCKT) shares does Chaudhuri hold after the transaction?

After the reported sale, Chaudhuri holds 267,510 Rocket Pharmaceuticals common shares. The filing notes this total includes restricted stock units that convert into common stock on a one-for-one basis, providing a combined view of current share and RSU-based exposure.

Are RSUs included in Sarbani Chaudhuri’s reported Rocket Pharmaceuticals holdings?

Yes. The filing explains that Chaudhuri’s reported 267,510-share position includes restricted stock units. These RSUs convert into Rocket Pharmaceuticals common stock on a one-for-one basis, meaning each unit ultimately becomes one share when it vests under the company’s equity plan.

Was the RCKT insider sale related to a trading plan or tax withholding?

The disclosure links the sale directly to tax withholding needs, not a trading plan. It states the common shares were sold to satisfy tax obligations triggered by RSU vesting, characterizing the activity as a tax-related event rather than a discretionary share sale.