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.
Rocket Pharmaceuticals is offering certain eligible employees an exchange of outstanding employee stock options for replacement options under an Option Exchange. Eligible Options are grants under the 2014 Stock Option and Incentive Plan issued prior to 2025 with an exercise price of at least $3.52. As of April 24, 2026, there were Eligible Options to purchase 1,455,963 shares outstanding. Members of the board, executive officers at the EVP level and above, and certain advisers, consultants, contractors and former employees are not eligible. The number of shares underlying each replacement New Option will be determined by dividing the surrendered option's share count by an exchange ratio and rounding up, subject to the Offer to Exchange and related Terms of Election.
Rocket Pharmaceuticals is calling a virtual 2026 annual stockholder meeting on May 20, 2026, to vote on four key items: electing seven directors, ratifying EisnerAmper LLP as auditor, a non-binding advisory vote on executive pay, and approving a stock option exchange program.
Stockholders of record on March 24, 2026, when 109,122,837 common shares were outstanding, may vote online or by proxy. The proxy also describes a 2025 strategic reorganization that cut headcount by about 30% and is expected to lower 12‑month operating expenses by nearly 25%, along with a pay-for-performance executive compensation framework that received about 98% support in the 2025 advisory vote.
Rocket Pharmaceuticals Inc reported an amendment to institutional holdings showing 0 shares beneficially owned by The Vanguard Group after an internal realignment. The filing states that, following the realignment described in January 12, 2026, certain Vanguard subsidiaries will report holdings separately.
The Schedule 13G/A lists Amount beneficially owned: 0 and Percent of class: 0%. The filing is signed by Ashley Grim on March 27, 2026.
Rocket Pharmaceuticals announced that the FDA has granted accelerated approval for KRESLADI, an autologous hematopoietic stem cell gene therapy for pediatric patients with severe leukocyte adhesion deficiency-I (LAD-I) who lack a matched sibling donor for transplant. The approval is based on increased neutrophil CD18 and CD11a surface expression, and continued approval may depend on confirming clinical benefit in ongoing studies and a post-marketing registry.
With KRESLADI’s approval, Rocket received a Rare Pediatric Disease Priority Review Voucher and plans to evaluate strategic options to monetize this voucher to enhance financial flexibility and shareholder value. The company highlighted that KRESLADI is the first FDA‑approved gene therapy for children with severe LAD-I, a life‑threatening ultra‑rare immunodeficiency characterized by recurrent serious infections and high early‑childhood mortality without treatment.
Rocket Pharmaceuticals, Inc. is soliciting proxies for its 2026 Annual Meeting of Stockholders to be held solely by remote communication at www.virtualshareholdermeeting.com/RCKT2026 on May 20, 2026. The Board recommends votes FOR election of seven director nominees, ratification of EisnerAmper LLP as independent auditors, approval of the non-binding advisory vote on named executive officer compensation, and approval of a proposed stock option exchange program.
Shares outstanding for voting purposes were 109,122,837 as of March 24, 2026. The proxy materials and the 2025 Annual Report on Form 10-K are available at www.proxyvote.com and on the company website; preliminary results will be announced at the meeting and final results filed on Form 8-K.
Rocket Pharmaceuticals entered into a new sales agreement with Cantor Fitzgerald & Co. to establish an at-the-market stock offering program. Under this arrangement, the company may, at its discretion, sell shares of its common stock with an aggregate offering price of up to $100,000,000 through Cantor as sales agent.
The shares will be issued under an existing shelf registration statement on Form S-3, supported by a prospectus supplement filed the same day. Cantor will sell the shares in transactions deemed at-the-market on Nasdaq, earning a cash commission of up to 3.0% of gross proceeds. Rocket can suspend or terminate sales at any time, and the program ends once all shares are sold or the agreement is otherwise terminated.
In connection with this new arrangement, Rocket terminated its prior at-the-market sales agreement with Cowen and Company, LLC. Legal opinions and the full sales agreement are filed as exhibits, providing the formal framework for potential future equity issuance.
Rocket Pharmaceuticals has filed a prospectus supplement to sell up to $100,000,000 of common stock in an at-the-market offering. The company may sell shares from time to time through Cantor Fitzgerald & Co. acting as sales agent under a sales agreement that replaces a prior agreement with TD Securities.
The supplement bases its illustrative example on selling 19,569,471 shares at $5.11 per share and states shares outstanding were 108,319,783 as of December 31, 2025. Net proceeds are intended for general corporate purposes and working capital; commissions to Cantor are up to 3% of gross proceeds.