Rocket Pharmaceuticals grants equity awards to director

ROCKET PHARMACEUTICALS, INC. director and 10% owner Roderick Wong received new equity awards in the form of common stock and options.

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. director and 10% owner Roderick Wong received new equity awards in the form of common stock and options. He was granted 27,832 restricted stock units that convert into common shares on a one-for-one basis and vest in full on June 18, 2027. He also received a stock option for 78,960 shares of common stock at an exercise price of $3.35 per share, which becomes fully vested and exercisable on June 18, 2027 and expires on June 18, 2036. Following these awards, he holds 75,499 common shares directly and 18,188,457 shares indirectly through investment funds managed by RTW Investments, LP.

Insider Trade Summary

Grant/Award: 106,792 shares

Grant/Award 3 txns

Insider WONG RODERICK

Role Director, 10% Owner

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (Right to Buy)	78,960	$0.00	$0.00
Grant/Award	Common Stock	27,832	$0.00	$0.00
holding	Common Stock	--	--	--

Holdings After Transaction: Stock Option (Right to Buy) — 78,960 contracts (Direct); Common Stock — 75,499 shares (Direct); Common Stock — 18,188,457 shares (Indirect, See footnote)

Footnotes (3)

1. F1. Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.
2. F2. Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser"). The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser and is a director of the Issuer and Chairman of the Issuer's Board of Directors.
3. F3. This option represents a right to purchase a total of 78,960 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

Key Figures

RSUs granted: 27,832 units Option shares granted: 78,960 shares Option exercise price: $3.35 per share +3 more

6 metrics

RSUs granted 27,832 units Restricted stock units vesting June 18, 2027

Option shares granted 78,960 shares Stock option grant on June 18, 2026

Option exercise price $3.35 per share Stock option (Right to Buy) for common stock

Option expiration June 18, 2036 Expiration date of 78,960-share stock option

Direct common shares after award 75,499 shares Total Rocket common stock held directly after transactions

Indirect common shares 18,188,457 shares Shares held by funds managed by RTW Investments, LP

Key Terms

restricted stock units, Stock Option (Right to Buy), indirect ownership, RTW Investments, LP, +1 more

5 terms

restricted stock units financial

"Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis."

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.

Stock Option (Right to Buy) financial

"Stock Option (Right to Buy) with an exercise price of 3.3500."

indirect ownership financial

"Common Stock entry marked as indirect with nature of ownership "See footnote"."

RTW Investments, LP financial

"Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser")."

Managing Partner and Chief Investment Officer financial

"The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser."

FAQ

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

What equity awards did Roderick Wong receive from Rocket Pharmaceuticals (RCKT)?

Roderick Wong received 27,832 restricted stock units and a stock option for 78,960 Rocket Pharmaceuticals shares. The RSUs convert one-for-one into common stock, while the option allows future purchases at a fixed $3.35 per share exercise price.

When do Roderick Wong’s new Rocket Pharmaceuticals (RCKT) RSUs and options vest?

Both the 27,832 restricted stock units and the option for 78,960 shares vest fully on June 18, 2027. Once vested, RSUs convert into common shares and the option becomes exercisable until its June 18, 2036 expiration date.

What is the exercise price and expiration date of Roderick Wong’s new RCKT stock option?

The new stock option covers 78,960 Rocket Pharmaceuticals shares at a $3.35 exercise price. It becomes fully exercisable on June 18, 2027 and remains exercisable until its stated expiration date of June 18, 2036, subject to plan terms.

How many Rocket Pharmaceuticals (RCKT) shares does Roderick Wong hold after these transactions?

After these transactions, Roderick Wong holds 75,499 Rocket Pharmaceuticals common shares directly. He is also reported as indirectly holding 18,188,457 shares through certain investment funds managed by RTW Investments, LP, where he serves in key leadership roles.

What are the restricted stock units (RSUs) granted to Roderick Wong by Rocket Pharmaceuticals (RCKT)?

The 27,832 RSUs granted to Roderick Wong each convert into one Rocket Pharmaceuticals common share. They vest in full on June 18, 2027, meaning he will receive the underlying common stock if he meets the vesting conditions through that date.

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

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Accepted by SEC EDGAR 07/06/2026 - 08:00 PM EDT 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^*

WONG RODERICK

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/18/2026

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)	06/18/2026		A(1)		27,832	A(1)	$0(1)	75,499	D
Common Stock								18,188,457	I	See footnote(2)

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
Stock Option (Right to Buy)	$3.35	06/18/2026		A		78,960		(3)	06/18/2036	Common Stock	78,960	$0	78,960	D

Explanation of Responses:

1. Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

2. Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser"). The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser and is a director of the Issuer and Chairman of the Issuer's Board of Directors.

3. This option represents a right to purchase a total of 78,960 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

	/s/ Martin Wilson, as attorney-in-fact for Roderick Wong	07/06/2026
	** 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)