RCKT insider grant: 150,000 RSUs reported by General Counsel

Rhea-AI Filing Summary

Martin Louis Wilson, General Counsel of Rocket Pharmaceuticals, Inc. (RCKT), reported acquiring 150,000 restricted stock units (RSUs) on 09/08/2025. The RSUs convert one-for-one into common stock. Following the transaction, Mr. Wilson beneficially owns 285,462 shares. Vesting terms disclosed: one-third of the RSUs vest on 09/08/2026, with the remainder vesting in equal quarterly installments over the next two years. The Form 4 was signed on 09/09/2025. This filing documents an insider grant that increases the reporting person’s equity stake under a time-based vesting schedule.

Positive

• Significant insider grant of 150,000 RSUs shows management alignment with shareholders
• Clear vesting schedule (1/3 on 09/08/2026, then quarterly over two years) promotes long‑term retention
• Post‑transaction ownership disclosed (285,462 shares), improving transparency

Negative

• None.

Insights

Corporate Governance Expert

TL;DR Insider received a sizable time‑vested equity award, aligning legal leadership with long-term shareholder interests.

The grant of 150,000 RSUs to the company’s General Counsel is a standard retention and alignment mechanism. The one‑third cliff after one year followed by quarterly vesting over two additional years creates multi-year incentive alignment without immediate dilution because these are RSUs converting one‑for‑one into common stock upon vesting. The filing clearly states post‑transaction beneficial ownership (285,462 shares), which helps investors assess insider skin in the game.

Securities Analyst

TL;DR Material insider equity grant reported; useful for modeling potential future share count increases as RSUs vest.

The Form 4 documents a 150,000 RSU award effective 09/08/2025 with a defined vesting schedule beginning 09/08/2026. Reporting the resulting beneficial ownership (285,462 shares) provides a clear baseline for tracking future dilution from vesting. The disclosure is routine but important for cap table monitoring and for understanding executive compensation structure.

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

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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^*

Wilson Martin

(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)
	General Counsel

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)		150,000	A	$0	285,462	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.

	/s/ Martin Louis Wilson	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.
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FAQ

Who filed the Form 4 for RCKT?

The Form 4 was filed by Martin Louis Wilson, the company's General Counsel.

What security was acquired in the RCKT Form 4?

The filing reports acquisition of 150,000 restricted stock units (RSUs) that convert one‑for‑one into common stock.

When do the RSUs reported in the RCKT Form 4 vest?

One‑third of the RSUs vest on 09/08/2026; the remainder vests in equal quarterly installments over the following two years.

How many shares does the reporting person own after the transaction?

The reporting person beneficially owns 285,462 shares following the reported transaction.

What are the transaction and signature dates on the RCKT Form 4?

The transaction date is 09/08/2025 and the form is signed on 09/09/2025.