SEC Form 4 · accession 0001140361-26-027681
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roderick Wong
Director · 10% Owner
Period of report
Jun 18, 2026
Accepted (ET)
Jul 6, 2026 · 8:00 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001281895
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 18, 2026 | A | 27,832 | $0.00 | A | 75,499 | D | |
| Common StockF2 | holding | — | — | — | 18,188,457 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $3.35 | Jun 18, 2026 | A | 78,960 | A | — | Jun 18, 2036 | Common Stock | 78,960 | 78,960 | D |
Explanation of responses
- F1Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.
- F2Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser"). The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser and is a director of the Issuer and Chairman of the Issuer's Board of Directors.
- F3This option represents a right to purchase a total of 78,960 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.