Every Form 4 that Rocket Pharmaceuticals, Inc. Warrant (RCKTW) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow RCKTW and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full RCKTW filings page.
ROCKET PHARMACEUTICALS, INC. (RCKT) reported that General Counsel Martin Wilson sold 631 shares of common stock on 2026-08-18 at $3.381 per share. According to the disclosure, the sale was made to cover tax withholding obligations arising from the vesting of Restricted Stock Units. After this transaction, Wilson directly holds 673,853 shares, including RSUs that convert to common stock on a one-for-one basis.
ROCKET PHARMACEUTICALS, INC. (RCKT) CEO Gaurav Shah reported selling 2,293 shares of common stock on 2026-08-18 at $3.381 per share. The sale was made to pay tax withholding obligations related to vesting Restricted Stock Units (RSUs). After this transaction, he holds 1,056,594 shares directly (including RSUs), plus 207,897 shares held indirectly by his spouse and 198,341 shares held indirectly by the Gaurav D. Shah Irrevocable Trust.
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.
ROCKET PHARMACEUTICALS, INC. executive Martin Wilson, General Counsel, reported a sale of 3,493 shares of common stock on 2026-08-13 at $3.381 per share. The sale was made to cover tax withholding obligations arising from the vesting of Restricted Stock Units, and Wilson now holds 674,484 shares directly, including RSUs that convert to common stock on a one-for-one basis.
Rocket Pharmaceuticals, Inc. Chief Operating Officer Christopher James Stevens reported selling 36,658 shares of common stock on 2026-08-11 at $3.499 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). Following this tax-related sale, Stevens directly holds 505,784 shares of common stock, including RSUs that convert to common stock on a one-for-one basis.
Rocket Pharmaceuticals, Inc. executive Sarbani Chaudhuri sold 4,701 shares of common stock on August 11, 2026, at $3.499 per share. The filing states the shares were sold to pay tax withholding obligations related to vesting RSUs. After this transaction, Chaudhuri directly held 262,809 shares, including Restricted Stock Units that convert to common stock on a one-for-one basis.
Rocket Pharmaceuticals’ Chief Operating Officer Christopher James Stevens received equity compensation on August 3, 2026, consisting of 101,428 stock options at an exercise price of $3.41 expiring August 3, 2036, and 73,313 RSUs. Both awards vest one-third on August 3, 2027, with the remaining portions vesting in equal quarterly installments over the following two years. After these grants, he directly holds 542,442 shares of common stock, including RSUs, plus the option to purchase 101,428 shares.
Rocket Pharmaceuticals reported that director David P. Southwell received 150,000 restricted stock units on August 3, 2026 as compensation under a July 21, 2026 consulting agreement covering strategic and financial activities. The RSUs convert one-for-one into common stock and vest beginning August 3, 2027, with the balance vesting in equal quarterly installments over the following two years. After this award, Southwell holds 204,522 shares directly and 113,124 shares indirectly through The David P. Southwell Irrevocable Trust dated April 14, 2024.
ROCKET PHARMACEUTICALS, INC. director and 10% owner Roderick Wong received new equity awards in the form of common stock and options. He was granted 27,832 restricted stock units that convert into common shares on a one-for-one basis and vest in full on June 18, 2027. He also received a stock option for 78,960 shares of common stock at an exercise price of $3.35 per share, which becomes fully vested and exercisable on June 18, 2027 and expires on June 18, 2036. Following these awards, he holds 75,499 common shares directly and 18,188,457 shares indirectly through investment funds managed by RTW Investments, LP.
Rocket Pharmaceuticals director Peter Fong received equity awards as part of his compensation. He was granted 22,862 restricted stock units that convert into common stock on a one-for-one basis and will vest in full on June 18, 2027. He also received a stock option to purchase 64,860 shares of common stock at an exercise price of $3.35 per share, which will become fully vested and exercisable on June 18, 2027 and will expire on June 18, 2036. Following the restricted stock unit grant, his direct common stock holdings reported in this filing total 76,195 shares.
ROCKET PHARMACEUTICALS, INC. director Mikael Dolsten reported routine equity compensation awards rather than open-market trades. He received 22,862 restricted stock units that convert into common stock on a one-for-one basis and 64,860 stock options with an exercise price of $3.35 per share.
The RSUs and options both vest in full on June 18, 2027, with the options expiring on June 18, 2036. After the RSU grant, Dolsten directly holds 67,082 shares of common stock. The filing reflects compensation-related acquisitions, not purchases or sales in the market.
ROCKET PHARMACEUTICALS, INC. director Fady Ibraham Malik reported receiving equity awards tied to the company’s common stock. He was granted 22,862 restricted stock units that convert into common shares on a one-for-one basis and will vest in full on June 18, 2027.
He also received a stock option covering 64,860 shares of common stock at an exercise price of $3.35 per share, which will become fully vested and exercisable on June 18, 2027 and expires on June 18, 2036. Following the RSU grant, he directly holds 52,862 common shares.
ROCKET PHARMACEUTALS, INC. director David P. Southwell reported equity awards, not open-market trades. He received 22,862 restricted stock units (RSUs) that convert one-for-one into common stock and will vest in full on June 18, 2027. He was also granted a stock option for 64,860 shares of common stock at an exercise price of $3.35 per share, which becomes fully vested and exercisable on June 18, 2027 and expires on June 18, 2036. Following these awards, he directly owns 54,522 shares of common stock and indirectly holds 113,124 shares through The David P. Southwell Irrevocable Trust dated April 14, 2024.
Rocket Pharmaceuticals director Carsten Boess reported stock-based awards that increase his equity stake in the company. He received 22,862 restricted stock units that convert into common stock on a one-for-one basis and will vest in full on June 18, 2027. He also received options covering 64,860 shares of common stock at an exercise price of $3.35 per share, which will become fully vested and exercisable on June 18, 2027. Following the grant, his direct holdings of common stock total 52,862 shares, with the new option award providing additional potential future ownership.
ROCKET PHARMACEUTICALS, INC. reported that officer John Militello participated in an option exchange program on May 26, 2026. The company cancelled multiple out-of-the-money stock options previously held by him and took them back as a disposition to the issuer.
In exchange, Militello received several new stock options to buy common stock at an exercise price of $3.00 per share, which footnotes state was the closing price of the common stock on that date. The new grants cover different amounts and maturities, including rights to purchase 9,091 shares expiring on February 16, 2034 and 51,509 shares expiring on May 26, 2031, all subject to continued employment-based vesting.
The cancelled options included higher-strike awards such as 24,545 options at an exercise price of $30.01 and 49,798 options at $20.04, among other tranches with exercise prices up to $62.32 per share.
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.
ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah reported a small share sale primarily tied to equity compensation. On common stock, he sold 2,409 shares in an open-market transaction at about $3.014 per share to pay tax withholding obligations related to the vesting of Restricted Stock Units (RSUs).
After this transaction, Shah directly holds 1,040,918 shares of common stock, and also reports indirect holdings of 198,341 shares through the Gaurav D. Shah Irrevocable Trust and 207,897 shares held by his spouse. Footnotes note that his holdings include RSUs that convert into common stock on a one-for-one basis.
ROCKET PHARMACEUTICALS, INC. General Counsel Martin Wilson reported a small open-market sale of company common stock. He sold 662 shares on May 19, 2026 at an average price of $3.014 per share. Footnotes state the sale was made to cover tax withholding obligations related to vesting Restricted Stock Units that convert into common stock on a one-for-one basis. After this transaction, he continues to hold 677,977 shares of common stock, indicating the sale represents a very small portion of his overall position.
ROCKET PHARMACEUTICALS, INC. officer John Militello reported selling 384 shares of common stock at $3.014 per share on May 19, 2026. According to the footnotes, these shares were sold to satisfy tax withholding obligations arising from the vesting of Restricted Stock Units that convert to common stock on a one-for-one basis.
After this transaction, Militello directly holds 89,780 shares of common stock. The filing characterizes the trade as an open-market sale but clarifies that its purpose was to cover taxes related to equity compensation rather than a discretionary portfolio adjustment.
ROCKET PHARMACEUTICALS, INC. General Counsel Martin Wilson reported an open-market sale of 3,361 shares of common stock at $3.606 per share. The footnotes state the shares were sold to cover tax withholding obligations arising from the vesting of Restricted Stock Units that convert to common stock on a one-for-one basis. After this transaction, Wilson directly holds 678,639 shares, so the sale represents only a small portion of his overall position and appears tied to compensation-related taxes rather than a discretionary portfolio change.
ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah reported a small sale of common stock mainly tied to taxes on equity compensation. He sold 2,728 shares on May 13, 2026 at $3.606 per share to pay tax withholding obligations related to vesting restricted stock units.
After this sale, he directly holds 1,043,327 shares of common stock, with additional indirect holdings of 198,341 shares through the Gaurav D. Shah Irrevocable Trust and 207,897 shares held by his spouse. Footnotes note that these holdings include RSUs that convert one-for-one into common stock.
ROCKET PHARMACEUTICALS, INC. officer John Militello reported an open-market sale of common stock tied to equity compensation. He sold 855 shares at $3.606 per share, with the transaction occurring to cover tax withholding obligations from the vesting of Restricted Stock Units that convert to common stock on a one-for-one basis.
After this sale, Militello directly holds 90,164 shares of common stock, including RSUs. The transaction represents a small portion of his overall reported holdings and is characterized in the footnotes as a tax-related disposition rather than a discretionary share sale.
ROCKET PHARMACEUTALS, INC. insider Sarbani Chaudhuri reported an open-market sale of 17,650 shares of common stock at $3.838 per share on May 7, 2026. According to the disclosure, the shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units (RSUs). After this transaction, Chaudhuri holds 267,510 shares of common stock, which includes RSUs that convert into common stock on a one-for-one basis.
Rocket Pharmaceuticals, Inc. officer John Militello reported an open-market sale of 1,157 shares of common stock at an average price of $3.338 per share. According to the filing, the shares were sold to cover tax withholding obligations from vesting restricted stock units, and he now holds 91,019 shares, including RSUs that convert one-for-one into common stock.
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.
Rocket Pharmaceuticals General Counsel Wilson Martin reported an open-market sale of company stock. On February 18, 2026, he sold 1,376 shares of Common Stock at an average price of $3.338 per share in a transaction classified as an open-market sale.
According to the footnotes, the shares were sold to pay tax withholding obligations arising from the vesting of Restricted Stock Units (RSUs). After this sale, Martin beneficially owned 682,000 shares, which include RSUs that convert to common stock on a one-for-one basis.
ROCKET PHARMACEUTICALS, INC. General Counsel Wilson Martin sold 12,253 shares of common stock on February 13, 2026 in an open-market transaction at an average price of $3.312 per share. According to the disclosure, the sale was made to pay tax withholding obligations tied to the vesting of restricted stock units (RSUs). After this transaction, Martin directly owned 683,376 shares, and his holdings include RSUs that convert into common stock on a one-for-one basis.
Rocket Pharmaceuticals officer John Militello reported an open-market sale of 3,726 shares of common stock at $3.312 per share. According to the footnotes, the sale was made to cover tax withholding obligations from vested restricted stock units, and Militello now holds 92,176 shares, including RSUs that convert to common stock on a one-for-one basis.
ROCKET PHARMACEUTICALS, INC. CEO Gaurav Shah sold 12,279 shares of common stock at $3.312 per share on February 13, 2026 in an open-market transaction. According to the footnotes, the sale was made to cover tax withholding obligations tied to vesting restricted stock units that convert one-for-one into common shares. After this sale, Shah directly holds 1,052,045 shares, and also reports indirect holdings of 207,897 shares held by his spouse and 198,341 shares held by the Gaurav D. Shah Irrevocable Trust.
Shah Gaurav reported acquisition or exercise transactions in a Form 4 filing for RCKT. The filing lists transactions totaling 1,156,676 shares. Following the reported transactions, holdings were 870,648 shares.
Rocket Pharmaceuticals officer John Militello received new equity awards. On February 11, 2026, he was granted 29,982 shares of common stock at a price of $0, increasing his directly held common stock to 95,902 shares.
He was also granted a stock option covering 45,018 shares at an exercise price of $3.24 per share. Both the restricted stock units and the option vest one-third on February 11, 2027, with the remaining portions vesting in equal quarterly installments over the following two years, subject to continued employment.
Rocket Pharmaceuticals General Counsel Martin Wilson received new equity awards. On February 11, 2026, he was granted 311,813 shares of common stock in the form of restricted stock units at a price of $0 per share, bringing his directly held common stock (including RSUs) to 695,629 shares.
He was also granted a stock option for 468,187 shares at an exercise price of $3.24 per share, expiring February 11, 2036. One-third of both the RSUs and the option will vest on February 11, 2027, with the remaining portions vesting in equal quarterly installments over the following two years, contingent on continued employment.
Rocket Pharmaceuticals’ Chief Medical Officer Syed Ali-aamir Rizvi received new equity awards. On February 11, 2026, he was granted 61,963 shares of common stock in the form of restricted stock units at $0 per share, bringing his directly held common stock (including RSUs) to 407,874 shares.
He was also granted a stock option covering 93,037 shares of common stock with an exercise price of $3.24 per share. For both the RSUs and the option, one-third vests on February 11, 2027, with the remainder vesting in equal quarterly installments over the following two years, contingent on continued employment.
Stevens Christopher James reported acquisition or exercise transactions in a Form 4 filing for RCKT. The filing lists transactions totaling 155,000 shares. Following the reported transactions, holdings were 93,037 shares.
Rocket Pharmaceuticals executive Sarbani Chaudhuri received new equity awards in the form of stock options and restricted stock units. On February 11, 2026, she was granted 125,924 shares of common stock as RSUs at a price of $0, increasing her directly held common stock to 285,160 shares.
She also received a stock option covering 189,076 shares of common stock at an exercise price of $3.24 per share. For both the RSUs and the option, one-third will vest on February 11, 2027, with the remaining portions vesting in equal quarterly installments over the following two years, contingent on continued employment.
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.