[Form 4] ROCKET PHARMACEUTICALS, INC. Insider Trading Activity

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah reported an option exercise and related share sale in Common Stock. He exercised stock options for 76,490 shares at $1.691 per share and sold 55,684 shares at a weighted average price of $3.086 per share.

According to the disclosure, the sale was made to pay the option exercise price and cover certain taxes tied to the exercise. After these transactions, Shah directly holds 1,061,724 shares of Common Stock, and additional shares are held indirectly through a trust and by his spouse. Direct holdings include Restricted Stock Units that convert to common stock on a one-for-one basis.

Insider Trade Summary

Net Seller: 55,684 shares ($171,841)

Net Sell 5 txns

Insider Shah Gaurav

Role CEO

Sold 55,684 shs ($172K)

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	76,490	$1.691	$129K
Exercise	Common Stock	76,490	$1.691	$129K
Sale	Common Stock	55,684	$3.086	$172K
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Stock Option (Right to Buy) — 0 shares (Direct, null); Common Stock — 1,117,408 shares (Direct, null); Common Stock — 207,897 shares (Indirect, By Spouse)

Footnotes (1)

1. Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. Represents shares received upon exercise of a Stock Option in advance of the expiration of such Stock Option. Represents shares sold by the Reporting Person in order to pay the exercise price of a Stock Option and to cover certain taxes in connection with the exercise of the Stock Option. Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $3.08 to $3.105. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. This option represents a right to purchase a total of 76,490 shares of the Issuer's Common Stock, one-third of which became fully vested and exercisable on April 12, 2018, with the remaining two-thirds vesting in equal quarterly installments over the following two years.

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Form 4 Insider Transactions: What Each Field Means →

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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 NEW JERSEY 08512

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/21/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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)(2)	05/21/2026		M		76,490	A	$1.691	1,117,408(1)	D
Common Stock(1)	05/21/2026		S(3)		55,684	D	$3.086(4)	1,061,724(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
Stock Option (Right to Buy)	$1.691	05/21/2026		M			76,490	(5)	04/12/2027	Common Stock	76,490	$1.691	0	D

Explanation of Responses:

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

2. Represents shares received upon exercise of a Stock Option in advance of the expiration of such Stock Option.

3. Represents shares sold by the Reporting Person in order to pay the exercise price of a Stock Option and to cover certain taxes in connection with the exercise of the Stock Option.

4. Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $3.08 to $3.105. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

5. This option represents a right to purchase a total of 76,490 shares of the Issuer's Common Stock, one-third of which became fully vested and exercisable on April 12, 2018, with the remaining two-thirds vesting in equal quarterly installments over the following two years.

	/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah	05/26/2026
	** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)