Rocket Pharmaceuticals (RCKT) insider sells 855 shares for tax withholding

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. officer John Militello reported an open-market sale of common stock tied to equity compensation. He sold 855 shares at $3.606 per share, with the transaction occurring to cover tax withholding obligations from the vesting of Restricted Stock Units that convert to common stock on a one-for-one basis.

After this sale, Militello directly holds 90,164 shares of common stock, including RSUs. The transaction represents a small portion of his overall reported holdings and is characterized in the footnotes as a tax-related disposition rather than a discretionary share sale.

Insider Trade Summary

Net Seller: 855 shares ($3,083)

Net Sell 1 txn

Insider Militello John

Role See Remarks

Sold 855 shs ($3K)

Type	Security	Shares	Price	Value
Sale	Common Stock	855	$3.606	$3K

Holdings After Transaction: Common Stock — 90,164 shares (Direct, null)

Footnotes (1)

1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. 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: 855 shares Sale price: $3.606 per share Post-transaction holdings: 90,164 shares

3 metrics

Shares sold 855 shares Open-market sale to cover tax withholding on RSU vesting

Sale price $3.606 per share Price received for Rocket Pharmaceuticals common stock

Post-transaction holdings 90,164 shares Shares held directly after the sale, including RSUs

Key Terms

Restricted Stock Units ("RSUs"), tax withholding obligations, open-market sale

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

"shares of common stock were sold ... in order to pay tax withholding obligations..."

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Form 4 Insider Transactions: What Each Field Means →

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^*

Militello John

(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)
	See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/13/2026

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)	05/13/2026		S(2)		855	D	$3.606	90,164(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.

Remarks:

Vice President of Finance, Treasurer, Principal Accounting Officer

	/s/ Martin Wilson, as attorney-in-fact for John Militello	05/14/2026
	** 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)

FAQ

What did Rocket Pharmaceuticals (RCKT) insider John Militello report on this Form 4?

John Militello reported selling 855 shares of Rocket Pharmaceuticals common stock. The shares were sold at $3.606 per share, and the sale was made specifically to cover tax withholding obligations arising from the vesting of Restricted Stock Units.

How many Rocket Pharmaceuticals (RCKT) shares did the insider sell and at what price?

The insider sold 855 shares at a price of $3.606 per share. This open-market transaction was described in the footnotes as being undertaken to satisfy tax withholding requirements linked to vesting RSUs, not as a discretionary portfolio sale.

Why did the Rocket Pharmaceuticals (RCKT) insider sell shares according to the Form 4 footnotes?

The shares were sold to pay tax withholding obligations from RSU vesting. The filing states that the common stock sale was carried out in connection with Restricted Stock Units that convert to common stock on a one-for-one basis when they vest.

How many Rocket Pharmaceuticals (RCKT) shares does the insider hold after this transaction?

After the transaction, John Militello holds 90,164 Rocket Pharmaceuticals shares. The filing notes that this figure includes Restricted Stock Units, which are equity awards that convert into common stock on a one-for-one basis upon vesting.

Does this Rocket Pharmaceuticals (RCKT) Form 4 indicate a large insider sale?

The reported sale is relatively small compared with the insider’s remaining holdings. Militello sold 855 shares while still holding 90,164 shares, and the filing explains the sale was to cover tax withholding from RSU vesting rather than a broad reduction in ownership.