Rocket Pharma counsel sells 75K shares for taxes

Rocket Pharmaceuticals’ General Counsel sold shares primarily to cover taxes on vesting RSUs, retaining a substantial equity position afterward.

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. (RCKT) reported that its General Counsel, Wilson Martin, sold 75,364 shares of common stock on September 11, 2026, at $3.403 per share. The company states the sale was made to satisfy tax withholding obligations related to vesting RSUs, and Martin held 598,489 shares afterward, including RSUs that convert to common stock one-for-one. No Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Net Seller: 75,364 shares

Net Sell 1 txn

Insider Wilson Martin

Role General Counsel

Sold 75,364 shs ($256K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F2	75,364	$3.403	$256K

Holdings After Transaction: Common Stock — 598,489 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.

Key Figures

Shares sold: 75,364 shares Sale price per share: $3.403 per share Shares held after transaction: 598,489 shares

3 metrics

Shares sold 75,364 shares Common stock sale by General Counsel on September 11, 2026

Sale price per share $3.403 per share Price for the 75,364 common shares sold

Shares held after transaction 598,489 shares Post-transaction holdings by Wilson Martin, including RSUs

Key Terms

Restricted Stock Units ("RSUs"), tax withholding obligations, Rule 10b5-1 trading plan

3 terms

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 by the Reporting Person in order to pay tax withholding obligations"

Rule 10b5-1 trading plan regulatory

"No Rule 10b5-1 trading plan is reported for this transaction"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

FAQ

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

What insider transaction did RCKT report for General Counsel Wilson Martin?

ROCKET PHARMACEUTICALS, INC. reported that General Counsel Wilson Martin sold 75,364 shares of common stock on September 11, 2026 at $3.403 per share, mainly to cover tax withholding obligations from vesting restricted stock units (RSUs).

How many RCKT shares did the insider hold after the reported sale?

After the September 11, 2026 sale, Wilson Martin held 598,489 shares of ROCKET PHARMACEUTICALS, INC. common stock. The holdings include RSUs that convert to common stock on a one-for-one basis, as disclosed in the filing footnotes.

What was the purpose of the RCKT share sale reported by the General Counsel?

The filing states that the 75,364 shares of RCKT common stock were sold by Wilson Martin to pay tax withholding obligations in connection with the vesting of RSUs, indicating the transaction was tied to equity compensation events.

Was the RCKT insider sale made under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked, and there is no footnote indicating a pre-arranged Rule 10b5-1 trading plan, so the reported transaction was not affirmed as being under such a plan.

What type of security did the RCKT insider sell in this Form 4?

Wilson Martin sold common stock of ROCKET PHARMACEUTICALS, INC. The footnotes add that his reported holdings also include Restricted Stock Units (RSUs) that convert into common stock on a one-for-one basis upon vesting or settlement.

How many RCKT shares did the insider sell in total according to this Form 4?

The Form 4 reports that Wilson Martin sold a total of 75,364 shares of ROCKET PHARMACEUTICALS, INC. common stock on September 11, 2026, with a reported per-share price of $3.403 for this transaction.

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

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Available on EDGAR 09/15/2026 - 08:28 PM Accepted by SEC EDGAR 09/15/2026 - 08:27 PM 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^*

Wilson Martin

(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)
	General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/11/2026

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)	09/11/2026		S(2)		75,364	D	$3.403	598,489(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)
				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 Louis Wilson	09/15/2026
	** 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)