Rocket Pharmaceu SEC Filings

Rocket Pharmaceuticals, Inc. announced it voluntarily withdrew its U.S. Biologics License Application for mozafancogene autotemcel (RP-L102 / Fanskya) on October 3, 2025. The company stopped new internal investment in RP-L102 in July 2025 and also withdrew its MAA with the EMA in July 2025, citing a corporate prioritization to focus resources on programs with clearer regulatory and commercial paths. Rocket said the withdrawal reflects business and strategic considerations and does not reflect safety or efficacy concerns; it stated that data to date show RP-L102 has been generally well tolerated with no significant safety signals. The company will consider external partnerships and reserves the ability to re-engage regulators later if a sustainable pathway emerges.

Rocket Pharmaceuticals, Inc. (RCKT) disclosed the appointment of Dr. Fong to its board of directors in a current report. The filing states there are no arrangements or understandings between Dr. Fong and any other person regarding the appointment, no family relationships between Dr. Fong and company officers or directors, and no related person transactions as defined under Regulation S-K. The notice is brief and limited to governance disclosures; it confirms the director addition and the absence of conflicts or reportable transactions, giving investors a clear, administrative update on the board composition and compliance with related‑party disclosure rules.

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.