Rocket Pharma CEO sells shares for RSU taxes

ROCKET PHARMACEUTICALS, INC.

Accepted by SEC EDGAR 05/14/2026 - 04:19 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah reported a small sale of common stock mainly tied to taxes on equity compensation. He sold 2,728 shares on May 13, 2026 at $3.606 per share to pay tax withholding obligations related to vesting restricted stock units.

After this sale, he directly holds 1,043,327 shares of common stock, with additional indirect holdings of 198,341 shares through the Gaurav D. Shah Irrevocable Trust and 207,897 shares held by his spouse. Footnotes note that these holdings include RSUs that convert one-for-one into common stock.

Insider Trade Summary

Net Seller: 2,728 shares

Net Sell 1 txn

Insider Shah Gaurav

Role CEO

Sold 2,728 shs ($10K)

Share of Position Sold 0.26%

Type	Security	Shares	Price	Value
Sale	Common Stock	2,728	$3.606	$10K
Holding	Common Stock	--	--	--
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 1,043,327 shares (Direct); Common Stock — 207,897 shares (Indirect, By Spouse); Common Stock — 198,341 shares (Indirect, By Gaurav D. Shah Irrevocable Trust)

Holdings Before and After: Common Stock, 1,046,055 to 1,043,327 shares (Direct)

Other Insiders: 3 other insiders reported open-market sales of this stock in the 30 days up to this filing.

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.

Key Figures

Shares sold: 2,728 shares Sale price: $3.606 per share Direct holdings after sale: 1,043,327 shares +2 more

5 metrics

Shares sold 2,728 shares Open-market sale on May 13, 2026

Sale price $3.606 per share Price for the 2,728 shares sold

Direct holdings after sale 1,043,327 shares Common stock directly owned after transaction

Trust holdings 198,341 shares Indirect ownership via Gaurav D. Shah Irrevocable Trust

Spouse holdings 207,897 shares Indirect ownership reported as held by spouse

Key Terms

Restricted Stock Units ("RSUs"), tax withholding obligations, open-market sale

3 terms

Restricted Stock Units ("RSUs") financial

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

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

"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."

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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider share sale did RCKT CEO Gaurav Shah report?

Gaurav Shah reported selling 2,728 shares of Rocket Pharmaceuticals common stock. The sale occurred on May 13, 2026 at $3.606 per share and was disclosed as an open-market transaction on behalf of the CEO.

Why did Rocket Pharmaceuticals (RCKT) CEO sell 2,728 shares?

The 2,728 shares were sold to pay tax withholding obligations tied to vesting restricted stock units. The filing states the sale’s purpose was tax-related, linking it directly to the conversion of equity awards into common stock.

How many Rocket Pharmaceuticals shares does the CEO hold after this Form 4?

Following the reported sale, the CEO directly holds 1,043,327 shares of Rocket Pharmaceuticals common stock. The filing also shows separate indirect holdings through a trust and spouse, providing a fuller picture of his total equity exposure.

What indirect Rocket Pharmaceuticals (RCKT) holdings are reported for the CEO?

The filing shows 198,341 shares held indirectly through the Gaurav D. Shah Irrevocable Trust and 207,897 shares held by his spouse. These positions are reported as indirect ownership, distinct from his directly held common stock.

Do the CEO’s Rocket Pharmaceuticals holdings include RSUs?

Yes. A footnote explains the reported holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. These RSUs increase his effective equity exposure beyond only currently issued common shares.

Was the RCKT CEO’s May 2026 sale part of a larger derivatives exercise?

No derivative exercises are listed in this filing. The transaction summary shows one open-market sale and notes no option or other derivative exercises, indicating this event was limited to a relatively small stock sale for tax obligations.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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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^*

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/13/2026

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)	05/13/2026		S(2)		2,728	D	$3.606	1,043,327(1)	D
Common Stock								207,897	I	By Spouse
Common Stock								198,341	I	By 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)
				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 Wilson, as attorney-in-fact for Gaurav Shah	05/14/2026
	** 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)