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

Rocket Pharma (RCKT) CEO sells shares to cover RSU taxes

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah reported a sale of 2,837 shares of common stock on 2026-08-13 at $3.3810 per share. According to the company’s disclosure, these shares were sold to satisfy tax withholding obligations arising from the vesting of Restricted Stock Units (RSUs). After this sale, Shah held 1,058,887 shares directly, which include RSUs that convert to common stock on a one-for-one basis, plus indirect holdings of 207,897 shares through his spouse and 198,341 shares through the Gaurav D. Shah Irrevocable Trust.

Positive

  • None.

Negative

  • None.
Insider Shah Gaurav
Role CEO
Sold 2,837 shs ($10K)
Type Security Shares Price Value
Sale Common Stock F1, F2 2,837 $3.381 $10K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 1,058,887 shares (Direct); Common Stock — 207,897 shares (Indirect, By Spouse); Common Stock — 198,341 shares (Indirect, By Gaurav D. Shah Irrevocable Trust)
Footnotes (2)
  1. F1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
  2. F2. 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.
Shares sold 2,837 shares Common stock sale on 2026-08-13 by CEO Gaurav Shah
Sale price per share $3.3810 Per-share price for 2,837 shares of common stock sold
Direct holdings after transaction 1,058,887 shares Direct common stock (including RSUs) held by Gaurav Shah after sale
Indirect holdings by spouse 207,897 shares Common stock reported as indirectly owned "By Spouse"
Indirect holdings by trust 198,341 shares Common stock reported as indirectly owned by Gaurav D. Shah Irrevocable Trust
Net shares sold 2,837 shares Net buy/sell direction across reported non-derivative transactions
Restricted Stock Units ("RSUs") financial
"Holdings include Restricted Stock Units ("RSUs") that convert to common stock"
Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.
tax withholding obligations financial
"sold by the Reporting Person in order to pay tax withholding obligations"
indirect ownership financial
"total_shares_following_transaction ... ownership_type":"indirect""

FAQ

What transaction did RCKT CEO Gaurav Shah report on this Form 4?
Gaurav Shah reported selling 2,837 shares of ROCKET PHARMACEUTICALS common stock on 2026-08-13 at $3.3810 per share. The sale was disclosed as related to tax withholding obligations from vesting Restricted Stock Units (RSUs).

Why did RCKT CEO Gaurav Shah sell 2,837 shares of stock?
The filing states the 2,837 shares were sold to pay tax withholding obligations connected with the vesting of RSUs. This indicates the transaction was structured to cover taxes rather than as a discretionary open-market sale for other purposes.

How many RCKT shares does Gaurav Shah hold directly after this transaction?
After the reported sale, Gaurav Shah directly held 1,058,887 shares of ROCKET PHARMACEUTICALS common stock. The disclosure notes these direct holdings include Restricted Stock Units (RSUs) that convert to common stock on a one-for-one basis when they vest.

What indirect ROCKET PHARMACEUTICALS (RCKT) holdings are associated with Gaurav Shah?
In addition to direct holdings, the Form 4 reports 207,897 shares held indirectly "By Spouse" and 198,341 shares held "By Gaurav D. Shah Irrevocable Trust." These positions are reported as indirect ownership interests associated with Shah.

Was Gaurav Shah’s RCKT stock sale under a Rule 10b5-1 trading plan?
The filing indicates the Rule 10b5-1 checkbox is not affirmed, and no footnote links the sale to a trading plan. The transaction is reported as a sale to cover tax withholding on RSU vesting, not as part of a pre-arranged plan.

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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/13/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock(1)08/13/2026S(2)2,837D$3.3811,058,887(1)D
Common Stock207,897IBy Spouse
Common Stock198,341IBy 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 Shah08/17/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR