SEC Form 4 · accession 0001140361-26-031471
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Southwell
Director
Period of report
Aug 3, 2026
Accepted (ET)
Aug 5, 2026 · 8:45 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,F2 | Aug 3, 2026 | J | 150,000 | $0.00 | A | 204,522 | D | |
| Common Stock | holding | — | — | — | 113,124 | I | By The David P. Southwell Irrevocable Trust Dtd 04/14/2024 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Rocket Pharmaceuticals, Inc. (the "Company") entered into a consulting agreement with the Reporting Person, dated July 21, 2026, for consulting services related to the Company's strategic and financial activities. As compensation for services rendered, the Reporting Person received 150,000 restricted stock units ("RSUs") on August 3, 2026.
- F2Represents RSUs that convert to common stock on a one-for-one basis. One-third of such RSUs will vest in full on August 3, 2027, with the remaining two-thirds vesting in equal quarterly installments over the following two years.