Rocket Pharmaceuticals Issues 345,911 RSUs; 383,854 Options at $3.18

Rhea-AI Filing Summary

Insider equity awards and option grants were recorded for Rocket Pharmaceuticals (RCKT). The reporting person, the company’s Chief Medical Officer, was issued 283,018 restricted stock units (RSUs) that convert one-for-one to common shares and an additional 62,893 RSUs, for a total beneficial ownership of 345,911 shares after the transactions. The filing also shows a grant of 383,854 non-qualified stock options exercisable at $3.18 per share with an exercisable start on 10/06/2028 and expiration on 10/06/2035.

Vesting schedules are time-based: one-third of the larger RSU and option awards vest on 10/06/2026, with the remainder vesting quarterly over two years; the smaller RSU award vests half on 10/06/2026 and fully by the second anniversary. All vesting is subject to continued employment.

Positive

• Alignment with shareholders via combined RSUs and NQSOs that vest over multi-year periods
• Retention-focused vesting schedules (one-third or half at first anniversary, remainder over the following two years)
• Substantial long-term incentive with options expiring on 10/06/2035, encouraging long-horizon performance

Negative

• Potential dilution from 345,911 RSUs converting to common shares upon vesting
• Further dilution if $3.18 NQSOs (383,854) are exercised in the future
• No performance conditions disclosed; vesting is solely time-based and depends only on continued employment

Insights

Compensation & Governance Analyst

Grants align the Chief Medical Officer with shareholder outcomes but create near-term dilution.

The package combines RSUs and NQSOs to provide both guaranteed equity value at vesting and leverage through options exercisable at $3.18. Time-based vesting over two to three years ties realized gain to continued employment, supporting retention.

Risks include dilution from converting 345,911 RSUs and exercising 383,854 options; investors should note the exercisable window beginning 10/06/2028

Corporate Finance Analyst

These awards are material in share count terms but not a cash expense now.

RSUs convert to common stock one-for-one and increase outstanding share count when vested; options require payment of $3.18 per share to realize, so they do not create immediate cash outflows for the company but will dilute equity if exercised. The grants have long expirations (10/06/2035), giving extended optionality to the holder.

Monitor the company’s overall outstanding equity and option pool utilization over the next 2 years to assess dilution impact as vesting occurs.

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
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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^*

Rizvi Syed Ali-aamir

(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)
	Chief Medical Officer

3. Date of Earliest Transaction (Month/Day/Year)
10/06/2025

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	10/06/2025		A(1)		283,018(1)	A	$0(1)	283,018	D
Common Stock	10/06/2025		A(2)		62,893(2)	A	$0(2)	345,911	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
Stock Option (right to buy)	$3.18	10/06/2025		A(3)		383,854		10/06/2028(3)	10/06/2035	Common Stock	383,854	$0	383,854	D

Explanation of Responses:

1. Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on October 6, 2026, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

2. Represents RSUs that will vest in two installments. One-half (1/2) of the RSUs will become fully vested on October 6, 2026 and the remaining RSUs will vest on the second anniversary of the grant date, such that all of the shares underlying the award will be vested on the date two (2) years after the grant date, subject to the reporting person's continued employment with the Issuer or any of its subsidiaries.

3. Represents non-qualified stock options ("NQSOs") that convert to common stock on a one-for-one basis. One-third (1/3) of such NQSOs will become fully vested on October 6, 2026, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

	/s/ Martin Wilson, as attorney-in-fact for Syed Ali-aamir Rizvi	10/08/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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FAQ

What did RCKT insider Syed Ali-aamir Rizvi receive?

The Chief Medical Officer was granted 283,018 RSUs, an additional 62,893 RSUs, and 383,854 NQSOs exercisable at $3.18 per share.

When do the awards vest for RCKT insider grants?

For the larger awards one-third vests on 10/06/2026 with remaining vesting quarterly over two years; the smaller RSU award vests half on 10/06/2026 and fully by the second anniversary.

How many shares will the insider own after these transactions?

The filing reports 345,911 shares beneficially owned following the reported transactions (after RSU grants).

What is the exercise price and expiry for the options?

The options have an exercise price of $3.18, become exercisable starting 10/06/2028, and expire on 10/06/2035.

Are these awards performance-based?

No performance conditions are disclosed; vesting is conditioned on continued employment and time-based schedules.