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

Rocket Pharmaceuticals (RCKT) officer sells 4,701 shares to satisfy RSU tax withholding

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

Rhea-AI Filing Summary

Rocket Pharmaceuticals, Inc. executive Sarbani Chaudhuri sold 4,701 shares of common stock on August 11, 2026, at $3.499 per share. The filing states the shares were sold to pay tax withholding obligations related to vesting RSUs. After this transaction, Chaudhuri directly held 262,809 shares, including Restricted Stock Units that convert to common stock on a one-for-one basis.

Positive

  • None.

Negative

  • None.
Insider Chaudhuri Sarbani
Role See Remarks
Sold 4,701 shs ($16K)
Type Security Shares Price Value
Sale Common Stock F1, F2 4,701 $3.499 $16K
Holdings After Transaction: Common Stock — 262,809 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. 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 4,701 shares Common stock sale on August 11, 2026
Sale price $3.499 per share Price for the 4,701 shares of common stock sold
Post-transaction holdings 262,809 shares Direct holdings after the sale, including RSUs
Restricted Stock Units financial
"Holdings include Restricted Stock Units ("RSUs") that convert to common stock"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
tax withholding obligations financial
"shares of common stock were sold ... to pay tax withholding obligations"
one-for-one basis financial
"RSUs that convert to common stock on a one-for-one basis"

FAQ

What insider transaction did RCKT executive Sarbani Chaudhuri report?
Sarbani Chaudhuri reported a sale of 4,701 Rocket Pharmaceuticals (RCKT) common shares on August 11, 2026. The shares were sold at $3.499 per share to cover tax withholding obligations from vesting RSUs.

At what price were the RCKT shares sold by Sarbani Chaudhuri?
The reported Rocket Pharmaceuticals (RCKT) shares were sold at a price of $3.499 per share. This sale involved 4,701 shares of common stock, executed to satisfy tax withholding obligations upon RSU vesting.

How many RCKT shares does Sarbani Chaudhuri hold after this Form 4 transaction?
After the reported transaction, Sarbani Chaudhuri directly held 262,809 shares of Rocket Pharmaceuticals (RCKT). The holdings figure includes Restricted Stock Units that convert to common stock on a one-for-one basis.

Why did the RCKT insider sell 4,701 shares in this Form 4 filing?
The filing states the 4,701 Rocket Pharmaceuticals (RCKT) shares were sold to pay tax withholding obligations connected with the vesting of RSUs. This indicates the sale was tied to equity compensation tax requirements.

What role does the reporting person in this RCKT Form 4 hold?
The reporting person, Sarbani Chaudhuri, serves as Chief Commercial & Medical Affairs Officer of Rocket Pharmaceuticals (RCKT). The Form 4 reflects a transaction in common stock related to this officer’s equity compensation.

Do Sarbani Chaudhuri’s reported RCKT holdings include RSUs?
Yes. The Form 4 explains that reported holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. These RSUs are counted within the 262,809 post-transaction shares figure.

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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*
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)
Director10% Owner
XOfficer (give title below)Other (specify below)
See Remarks
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/11/2026		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)08/11/2026S(2)4,701D$3.499262,809(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)
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.
Remarks:
Chief Commercial & Medical Affairs Officer
/s/ Martin Wilson, as attorney-in-fact for Sarbani Chaudhuri08/13/2026
** 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