Tax-related stock sale by Rocket Pharma (RCKT) CEO Gaurav Shah

Rhea-AI Filing Summary

Rocket Pharmaceuticals CEO Gaurav Shah reported a tax-related stock sale. On February 18, 2026, he sold 5,990 shares of common stock at $3.338 per share to cover tax withholding obligations tied to vesting restricted stock units. After this transaction, he directly holds 1,046,055 common shares, with additional indirect holdings of 207,897 shares held by his spouse and 198,341 shares held by the Gaurav D. Shah Irrevocable Trust.

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

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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^*

Shah Gaurav

(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)
	CEO

3. Date of Earliest Transaction (Month/Day/Year)
02/18/2026

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(1)	02/18/2026		S(2)		5,990	D	$3.338	1,046,055(1)	D
Common Stock								207,897	I	By Spouse
Common Stock								198,341	I	By Gaurav D. Shah Irrevocable Trust

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

Explanation of Responses:

1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

2. The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

	/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah	02/20/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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FAQ

What insider transaction did Rocket Pharmaceuticals (RCKT) report for CEO Gaurav Shah?

Rocket Pharmaceuticals reported that CEO Gaurav Shah sold 5,990 shares of common stock. The sale occurred on February 18, 2026, and was executed at $3.338 per share to satisfy tax withholding obligations from vesting restricted stock units.

Why did Rocket Pharmaceuticals CEO Gaurav Shah sell 5,990 RCKT shares?

The 5,990 Rocket Pharmaceuticals shares were sold to pay tax withholding obligations related to vesting restricted stock units. This type of sale is commonly used to cover income tax due when RSUs convert into common stock for an executive.

How many Rocket Pharmaceuticals (RCKT) shares does CEO Gaurav Shah own after the sale?

After the sale, CEO Gaurav Shah directly owns 1,046,055 Rocket Pharmaceuticals common shares. He also reports indirect ownership of 207,897 shares held by his spouse and 198,341 shares held by the Gaurav D. Shah Irrevocable Trust as of the transaction date.

What was the price per share for Gaurav Shah’s Rocket Pharmaceuticals stock sale?

The reported sale price was $3.338 per Rocket Pharmaceuticals common share. This price applied to the 5,990 shares sold on February 18, 2026, in a transaction disclosed as an open-market or private sale used to meet RSU-related tax obligations.

Does the Rocket Pharmaceuticals Form 4 mention restricted stock units (RSUs) for Gaurav Shah?

Yes. The filing states that Shah’s holdings include restricted stock units that convert to Rocket Pharmaceuticals common stock on a one-for-one basis. The reported sale was specifically to cover tax withholding triggered by the vesting of those RSUs.