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  4. [Form 4] ROCKET PHARMACEUTICALS, INC. Insider Trading Activity

Rocket Pharma (RCKT) CEO sells shares to cover RSU taxes

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

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. (RCKT) CEO Gaurav Shah reported selling 2,293 shares of common stock on 2026-08-18 at $3.381 per share. The sale was made to pay tax withholding obligations related to vesting Restricted Stock Units (RSUs). After this transaction, he holds 1,056,594 shares directly (including RSUs), plus 207,897 shares held indirectly by his spouse and 198,341 shares held indirectly by the Gaurav D. Shah Irrevocable Trust.

Positive

  • None.

Negative

  • None.
Insider Shah Gaurav
Role CEO
Sold 2,293 shs ($8K)
Type Security Shares Price Value
Sale Common Stock F1, F2 2,293 $3.381 $8K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 1,056,594 shares (Direct); Common Stock — 207,897 shares (Indirect, By Spouse); Common Stock — 198,341 shares (Indirect, By Gaurav D. Shah Irrevocable Trust)
Footnotes (2)
  1. F1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
  2. 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.
Shares sold 2,293 shares Common Stock sold by CEO Gaurav Shah on 2026-08-18
Sale price per share $3.381 per share Price for 2,293 shares of Common Stock sold on 2026-08-18
Direct holdings after transaction 1,056,594 shares Common Stock directly held by Gaurav Shah after the sale, including RSUs
Indirect holdings by spouse 207,897 shares Common Stock indirectly owned, nature of ownership "By Spouse"
Indirect holdings by trust 198,341 shares Common Stock indirectly owned, "By Gaurav D. Shah Irrevocable Trust"
Net shares sold 2,293 shares Net buy/sell shares in transactionSummary (net-sell)
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.
tax withholding obligations financial
"sold by the Reporting Person in order to pay tax withholding obligations"
indirect financial
"total_shares_following_transaction": "207897.0000", "direct_or_indirect": "I""

FAQ

What insider transaction did RCKT CEO Gaurav Shah report on this Form 4?
Gaurav Shah reported a sale of 2,293 RCKT common shares on 2026-08-18 at $3.381 per share. The filing states the sale was made to satisfy tax withholding obligations arising from the vesting of Restricted Stock Units (RSUs).

Why did the RCKT CEO sell 2,293 shares according to the filing?
The filing states the 2,293 RCKT shares were sold by Gaurav Shah to pay tax withholding obligations in connection with the vesting of RSUs, rather than as a discretionary open-market sale unrelated to a compensation event.

What are Gaurav Shah’s direct RCKT share holdings after this transaction?
After the reported sale, Gaurav Shah directly holds 1,056,594 shares of RCKT common stock. A footnote explains these direct holdings include RSUs that convert into common stock on a one-for-one basis upon vesting or settlement.

Does this RCKT Form 4 involve any derivative securities or option exercises?
No derivative transactions are reported. The derivativeSummary section is empty, and the only transaction is a sale of 2,293 common shares to cover RSU-related tax withholding, with no option or warrant exercises disclosed in this filing.

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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Shah Gaurav
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/18/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock(1)08/18/2026S(2)2,293D$3.3811,056,594(1)D
Common Stock207,897IBy Spouse
Common Stock198,341IBy Gaurav D. Shah Irrevocable Trust
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 Wilson, as attorney-in-fact for Gaurav Shah08/20/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR