SEC Form 4 · accession 0001140361-26-031473
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher James Stevens
Officer — Chief Operating Officer
Period of report
Aug 3, 2026
Accepted (ET)
Aug 5, 2026 · 8:49 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 | A | 73,313 | $0.00 | A | 542,442 | D |
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 | $3.41 | Aug 3, 2026 | A | 101,428 | A | — | Aug 3, 2036 | Common Stock | 101,428 | 101,428 | D |
Explanation of responses
- F1Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
- F2Represents RSUs, one-third (1/3) of which will become fully vested on August 3, 2027, with the remaining shares vesting in equal quarterly installments over the following two years.
- F3This option represents a right to purchase a total of 101,428 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on August 3, 2027, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.