Rocket Pharmaceuticals insider report: 80,000 RSUs granted to CMO Schwartz

Rhea-AI Filing Summary

Jonathan David Schwartz, Rocket Pharmaceuticals (RCKT) Chief Medical & Gene Therapy Officer, reported an acquisition of 80,000 restricted stock units (RSUs) on 09/08/2025. The RSUs convert one-for-one into common stock and raise his beneficial ownership to 301,609 shares following the grant. The award vests over three years: one-third vests on 09/08/2026 and the remainder vests in equal quarterly installments over the subsequent two years. The reported transaction shows a $0 per-share price because these are RSUs rather than an open-market purchase. The filing was signed by an attorney-in-fact on 09/09/2025.

Positive

• Acquisition of 80,000 RSUs increases insider alignment with shareholders by raising beneficial ownership to 301,609 shares
• Multi-year vesting schedule (one-third at 1 year, then quarterly over two years) aligns executive incentives with long-term performance
• RSUs convert one-for-one into common stock, providing straightforward equity upside for the reporting person

Negative

• None.

Insights

Financial Analyst

TL;DR: Insider received a sizable RSU award, increasing stake to 301,609 shares; vesting schedule aligns management incentives with multi-year performance.

This grant of 80,000 RSUs represents a compensation and retention action rather than an immediate market purchase. Because RSUs convert one-for-one and vest over three years with quarterly installments after the first-year cliff, the structure ties a significant portion of the officer's compensation to future share performance and continued service. For analysts, the key takeaway is alignment of executive incentives with long-term company performance rather than immediate vote of confidence via open-market buying. Without company-wide equity context or outstanding share count, materiality to valuation cannot be determined from this filing alone.

Corporate Governance Expert

TL;DR: Standard executive equity grant with time-based vesting; procedural filing completed by attorney-in-fact.

The form discloses a time-based RSU award and a clear vesting schedule: one-third after one year and the balance quarterly over two additional years. This is a common retention mechanism and suggests governance practices that use multi-year vesting to promote continuity. The filing is properly executed via attorney-in-fact signature. There is no indication of rule 10b5-1 trading plan usage, and no derivative transactions are reported. Absent additional governance disclosures, this appears routine and compliant.

Insider Trade Summary

Net Buyer: 80,000 shares

Net Buy 1 txn

Insider Schwartz Jonathan David

Role See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	80,000	$0.00	$0.00

Holdings After Transaction: Common Stock — 301,609 shares (Direct)

Footnotes (2)

1. F1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
2. F2. Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on September 8, 2026, with the remaining shares vesting in equal quarterly installments over the following two years.

FAQ

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

The Form 4 reports an acquisition of 80,000 RSUs on 09/08/2025 that convert one-for-one into common stock.

How many shares does Jonathan Schwartz beneficially own after the reported transaction?

He beneficially owns 301,609 shares following the reported RSU grant.

What is the vesting schedule for the RSUs reported by Jonathan Schwartz?

One-third of the RSUs vest on 09/08/2026 and the remaining RSUs vest in equal quarterly installments over the next two years.

Was any cash paid for the RSUs reported in the Form 4?

The Form 4 lists a price of $0, indicating these are RSUs granted as compensation rather than a cash purchase.

Who signed the Form 4 for Jonathan David Schwartz and when?

The filing was signed by Martin Wilson, as attorney-in-fact, on 09/09/2025.

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 09/09/2025 - 04:15 PM Learn about SEC filing dates

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)
09/08/2025

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)	09/08/2025		A(2)		80,000	A	$0	301,609	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)
				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. Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on September 8, 2026, with the remaining shares vesting in equal quarterly installments over the following two years.

Remarks:

Chief Medical & Gene Therapy Officer

	/s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz	09/09/2025
	** 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.