ROCKET PHARMACEUTICALS, INC. SEC Filings

Gaurav Shah filed to sell 2,837 shares of common stock of the issuer of RCKT through Fidelity Brokerage Services LLC on August 13, 2026, listed on NASDAQ, with an indicated value of $9,592.18. The shares relate to restricted stock vesting designated as compensation.

Over the prior three months, Shah reported sales of 2,728 shares for $9,836.08 on May 13, 2026, 2,409 shares for $7,261.69 on May 19, 2026, and 55,684 shares for $171,818.55 on May 21, 2026.

Rocket Pharmaceuticals, Inc. reported a sharp improvement in results for the quarter ended June 30, 2026, driven by U.S. FDA approval of KRESLADI™ and monetization of the associated Priority Review Voucher. Second-quarter net income was $123.2 million, compared with a net loss of $68.9 million a year earlier, helped by a $178.2 million gain from the sale of the voucher. Operating expenses declined to $46.9 million from $71.1 million, reflecting lower research and development and general and administrative costs following a prior restructuring.

For the first six months of 2026, Rocket reported net income of $75.6 million versus a net loss of $130.3 million in the prior-year period. Cash, cash equivalents and investments increased to $283.7 million as of June 30, 2026, from $188.9 million at year-end 2025, and the company expects its cash runway to extend into the second quarter of 2028. Rocket highlighted completion of safety observation for the first three Danon disease patients in its modified pivotal Phase 2 trial, continued FDA interactions on the path to rapidly completing this trial, and multiple planned second-half 2026 milestones across its cardiovascular gene therapy programs, including PKP2-ACM and BAG3-DCM, alongside commercial preparations for KRESLADI.

Rocket Pharmaceuticals, Inc. reported a sharp swing to profitability for the quarter ended June 30, 2026, driven by monetizing its Rare Pediatric Disease Priority Review Voucher. Net income was $123.2 million versus a net loss of $68.9 million a year earlier, primarily reflecting a $178.2 million gain on the PRV sale for $180 million.

Operating performance remained loss-making but more efficient. For the quarter, research and development expense fell to $29.5 million from $42.7 million, and general and administrative expense declined to $17.4 million from $25.0 million, with no new restructuring charges. Six‑month net income was $75.6 million versus a $130.3 million loss in 2025.

Liquidity improved significantly: cash, cash equivalents and investments totaled $283.7 million at June 30, 2026, up from $188.9 million at year‑end 2025, supporting management’s view that existing resources can fund operations into the second quarter of 2028. KRESLADI™ received FDA accelerated approval in March 2026, but the company has not yet generated product revenue and continues to invest in launch activities and its cardiovascular genetic medicines pipeline. The company also disclosed ongoing shareholder and derivative litigation related to prior Danon disease trial communications.

Rocket Pharmaceuticals’ Chief Operating Officer Christopher James Stevens received equity compensation on August 3, 2026, consisting of 101,428 stock options at an exercise price of $3.41 expiring August 3, 2036, and 73,313 RSUs. Both awards vest one-third on August 3, 2027, with the remaining portions vesting in equal quarterly installments over the following two years. After these grants, he directly holds 542,442 shares of common stock, including RSUs, plus the option to purchase 101,428 shares.

Rocket Pharmaceuticals reported that director David P. Southwell received 150,000 restricted stock units on August 3, 2026 as compensation under a July 21, 2026 consulting agreement covering strategic and financial activities. The RSUs convert one-for-one into common stock and vest beginning August 3, 2027, with the balance vesting in equal quarterly installments over the following two years. After this award, Southwell holds 204,522 shares directly and 113,124 shares indirectly through The David P. Southwell Irrevocable Trust dated April 14, 2024.

Rocket Pharmaceuticals reported a positive clinical safety update from the initial three patients treated with RP-A501 under the modified protocol in its global, pivotal Phase 2 trial for Danon disease. The patients received a recalibrated dose of 3.8 × 10¹³ GC/kg plus an immunomodulatory regimen of rituximab, sirolimus, and corticosteroids, given sequentially with at least four weeks between infusions. To date, no thrombotic microangiopathy, capillary leak syndrome, or other significant safety concerns have been observed in these patients.

The pivotal Phase 2 study is designed as a 12-patient, single-arm trial. Rocket is actively engaging with the FDA to align on the path to dosing additional patients and completing the trial and expects an update on the regulatory pathway, as well as a comprehensive Danon disease program update, in the second half of 2026. RP-A501 is a single intravenous AAV9.LAMP2B gene therapy that has demonstrated safety and efficacy in clinical studies and holds multiple U.S. and EU regulatory designations, including RMAT, Fast Track, Rare Pediatric Disease, Orphan Drug, ATMP, and PRIME.

Vanguard Portfolio Management reports a passive ownership stake in Rocket Pharmaceuticals Inc common stock. Vanguard beneficially owns 5,847,541 shares, representing 5.35% of the class as of June 30, 2026. Vanguard has sole voting power over 37,508 shares and sole dispositive power over all 5,847,541 shares, with no shared voting or dispositive power. The stake aggregates securities held by Vanguard Portfolio Management LLC and certain affiliated entities and funds over which they exercise dispositive and/or voting power. Vanguard and related investment companies and accounts have the right to receive, or direct the receipt of, dividends and sale proceeds for these securities, and no other single person’s interest exceeds 5% of the class.