Rocket Pharmaceuticals, Inc. filings document regulatory, financial, governance, and capital-structure disclosures for a biotechnology company developing and commercializing genetic therapies for rare disorders. Recent 8-K reports cover quarterly and annual operating results, FDA-related events for KRESLADI, Priority Review Voucher monetization, and clinical-program updates for cardiovascular gene therapy candidates.
The filing record also includes definitive proxy materials for annual-meeting governance matters and material-agreement disclosures related to an at-the-market common stock offering program under a shelf registration statement. These documents describe board and shareholder-vote matters, equity financing mechanics, common stock structure, business risks, and formal disclosure controls around product approvals and development programs.
RTW Investments, LP and Roderick Wong, M.D. filed a Form 4 reporting settlement of multiple equity swaps and related transactions in Rocket Pharmaceuticals (RCKT). On 09/19/2025 three previously disclosed equity swaps expired and settled, resulting in the conversion/settlement of positions tied to 1,000,000, 41,000, and 59,000 shares at specified reference prices. The Form shows simultaneous acquisitions and dispositions tied to those settlements but states the aggregate beneficial ownership did not change after settlement. The filing also discloses 47,667 restricted stock units held by Dr. Wong that convert one-for-one to common stock and will vest in full on June 18, 2026. The Adviser and Dr. Wong disclaim beneficial ownership except to the extent of any pecuniary interest.
Rocket Pharmaceuticals, Inc. (RCKT) Form 3 reports an initial Section 16 filing for Syed Ali-aamir Rizvi. The filing identifies Mr. Rizvi as Chief Medical Officer and provides his business address at Rocket Pharmaceuticals' Cranbury, NJ location. The event date triggering the filing is 09/15/2025, and the form states no securities are beneficially owned by the reporting person at this time. The document is signed by an attorney-in-fact on behalf of Mr. Rizvi on 09/22/2025.
Rocket Pharmaceuticals announced the separation of Dr. Kinnari Patel and related consulting arrangements. Under a Separation and Release Agreement dated September 11, 2025, Dr. Patel will receive her salary and benefits through December 31, 2025, payment for accrued unused paid time off, a lump sum severance payment of $482,040 conditioned on signing a release within seven days, and a lump sum healthcare allowance of $30,045 to cover approximately ten months of COBRA premiums. Concurrently, the company entered a Consulting Agreement effective after the release revocation period and continuing through December 31, 2026, under which Dr. Patel will provide general consulting services for an aggregate retainer of $582,156. The Consulting Agreement preserves her restricted stock units and options during the consulting period. The Separation and Consulting Agreements are filed as Exhibits 10.1 and 10.2 and are incorporated by reference.
John Militello, an officer of Rocket Pharmaceuticals (RCKT), received 40,000 restricted stock units (RSUs) on 09/08/2025 that convert one-for-one to common stock at no cash price. After the award, he beneficially owns 95,924 shares of common stock. The RSUs vest with one-third becoming fully vested on 09/08/2026 and the remainder vesting in equal quarterly installments over the subsequent two years. The filing identifies Militello as Vice President of Finance, Treasurer and Principal Accounting Officer. The form reports a non-derivative acquisition and includes a legal signature by an attorney-in-fact.
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.
Jonathan David Schwartz, Rocket Pharmaceuticals (RCKT) Chief Medical & Gene Therapy Officer, reported an acquisition of 80,000 restricted stock units (RSUs) on 09/08/2025. The RSUs convert one-for-one into common stock and raise his beneficial ownership to 301,609 shares following the grant. The award vests over three years: one-third vests on 09/08/2026 and the remainder vests in equal quarterly installments over the subsequent two years. The reported transaction shows a $0 per-share price because these are RSUs rather than an open-market purchase. The filing was signed by an attorney-in-fact on 09/09/2025.
Elisabeth Bjork, a director of Rocket Pharmaceuticals, Inc. (RCKT), purchased 10,000 shares of common stock on 08/27/2025 at $3.41 per share, increasing her reported beneficial ownership to 40,000 shares. The filing notes that 30,000 of those shares are restricted stock units that convert one-for-one to common stock and vest in full on June 18, 2026. The Form 4 was signed by an attorney-in-fact for Ms. Bjork.
Rocket Pharmaceuticals reported a leadership change in its finance organization. Chief Financial Officer Aaron Ondrey resigned on August 20, 2025, with his departure effective September 5, 2025, as he leaves to pursue other opportunities.
On August 25, 2025, the company appointed Martin Wilson, its General Counsel, Chief Corporate Officer and Corporate Secretary, as interim Principal Financial Officer, effective September 8, 2025. Wilson joined Rocket in November 2021 and became Chief Corporate Officer in March 2024, bringing nearly 20 years of legal, compliance and executive experience in the life sciences industry, including senior roles at Ichnos Sciences and Teligent. The company states there are no family relationships or related-party transactions with Wilson beyond his existing compensation.
John Militello, Vice President of Finance, Treasurer and Principal Accounting Officer at Rocket Pharmaceuticals, Inc. (RCKT), reported two sales of common stock tied to RSU vesting. On 08/18/2025 he sold 699 shares at $3.065, leaving 56,285 shares beneficially owned. On 08/19/2025 he sold 361 shares at $2.996, leaving 55,924 shares owned. The filing states these shares were sold to pay tax withholding obligations related to Restricted Stock Units that convert one-for-one to common stock. The Form 4 was signed by an attorney-in-fact on 08/20/2025.
Jonathan David Schwartz, Chief Medical & Gene Therapy Officer at Rocket Pharmaceuticals (RCKT), reported two open-market transactions tied to vested restricted stock units. On 08/18/2025 he sold 1,680 shares at $3.065 per share and on 08/19/2025 he sold 805 shares at $2.996 per share; the filings state these sales were made to satisfy tax withholding obligations related to RSU vesting.
His beneficial ownership after the 08/18 transaction was reported as 222,414 shares and after the 08/19 transaction as 221,609 shares. The Form 4 was signed by an attorney-in-fact on 08/20/2025 and notes that his holdings include RSUs that convert one-for-one to common stock.