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Rocket Pharmaceuticals (RCKT) COO sells 36,658 shares to cover RSU tax withholding

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

Rhea-AI Filing Summary

Rocket Pharmaceuticals, Inc. Chief Operating Officer Christopher James Stevens reported selling 36,658 shares of common stock on 2026-08-11 at $3.499 per share. According to the company’s disclosure, these shares were sold to satisfy tax withholding obligations arising from the vesting of Restricted Stock Units (RSUs). Following this tax-related sale, Stevens directly holds 505,784 shares of common stock, including RSUs that convert to common stock on a one-for-one basis.

Positive

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Negative

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Insider Stevens Christopher James
Role Chief Operating Officer
Sold 36,658 shs ($128K)
Type Security Shares Price Value
Sale Common Stock F1, F2 36,658 $3.499 $128K
Holdings After Transaction: Common Stock — 505,784 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 36,658 shares Common stock sold on 2026-08-11 in connection with RSU tax withholding
Sale price per share $3.499 per share Price received for Rocket Pharmaceuticals common stock in the reported sale
Shares held after sale 505,784 shares Direct holdings of COO Christopher James Stevens following the transaction, including RSUs
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 ... in order to pay tax withholding obligations in connection with the vesting"
vesting financial
"tax withholding obligations in connection with the vesting of RSUs"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

What insider transaction did Rocket Pharmaceuticals (RCKT) report for Christopher James Stevens?
Rocket Pharmaceuticals reported that Chief Operating Officer Christopher James Stevens sold 36,658 shares of common stock on 2026-08-11 at $3.499 per share in a tax-related transaction.

Why did the Rocket Pharmaceuticals (RCKT) COO sell 36,658 shares?
The 36,658 Rocket Pharmaceuticals shares were sold by the COO to pay tax withholding obligations associated with the vesting of RSUs, according to the company’s disclosure footnote.

How many Rocket Pharmaceuticals (RCKT) shares does the COO hold after this transaction?
After the reported sale, Chief Operating Officer Christopher James Stevens directly holds 505,784 shares of Rocket Pharmaceuticals common stock, which the company states includes RSUs convertible one-for-one into common stock.

What price was received per share in the Rocket Pharmaceuticals (RCKT) insider sale?
The Rocket Pharmaceuticals common stock was sold at a price of $3.499 per share. The filing characterizes the transaction as a sale in connection with tax withholding obligations on vested RSUs.

Does the Rocket Pharmaceuticals (RCKT) Form 4 indicate a Rule 10b5-1 trading plan?
The Form 4 indicates the Rule 10b5-1 checkbox was not affirmatively marked, and the footnotes describe the transaction as a tax withholding-related sale tied to RSU vesting rather than a pre-arranged trading plan.

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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*
Stevens Christopher James
(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)
Chief Operating Officer
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)08/11/2026S36,658(2)D$3.499505,784(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.
/s/ Martin Wilson, as attorney-in-fact for Christopher James Stevens08/13/2026
** 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