Gaurav Shah - 21 May 2026 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Reporting relationship: CEO
Issuer ticker: RCKT
Reported as of: 21 May 2026
Net transaction value: -$171,841
SEC form: 4
Accepted by SEC: 26 May 2026, 19:47:15 UTC
Prior SEC filing: 21 May 2026
Source filing: View source filing
Reporting owner signature: /s/ Martin Wilson, as attorney-in-fact for Gaurav Shah

Key filing fact

Gaurav Shah filed Form 4 for ROCKET PHARMACEUTICALS, INC. (RCKT) on 26 May 2026.

Key facts

This page summarizes Gaurav Shah's Form 4 filing for ROCKET PHARMACEUTICALS, INC. (RCKT).
3 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 26 May 2026, 19:47.

Change

Previous filing in this sequence was filed on 21 May 2026.
Current net transaction value: -$171,841.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001725922 Primary reporting owner

Shah Gaurav

Relationship: CEO
Address: C/O ROCKET PHARMACEUTICALS, INC., 9 CEDARBROOK DRIVE, CRANBURY
Signature: /s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Signature date: 26 May 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

RCKT transaction

Common Stock

Options Exercise

Transaction value
Shares: +76,490
Change %: +7.3%
Price: $1.69^*
Shares after: 1,117,408
Date: 21 May 2026
Ownership: Direct
Footnotes: F1, F2

RCKT transaction

Common Stock

Sale

Transaction value: $171,841
Shares: -55,684
Change %: -5%
Price: $3.09
Shares after: 1,061,724
Date: 21 May 2026
Ownership: Direct
Footnotes: F1, F3, F4

RCKT holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 207,897
Date: 21 May 2026
Ownership: By Spouse

RCKT holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 198,341
Date: 21 May 2026
Ownership: By Gaurav D. Shah Irrevocable Trust

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

RCKT transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
Shares: -76,490
Change %: -100%
Price: $1.69^*
Shares after: 0
Date: 21 May 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 76,490
Exercise price: $1.69
Footnotes: F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

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

Footnote F2

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

Footnote F3

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.

Footnote F4

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.

Footnote F5

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.