SEC Form 4 · accession 0001140361-26-033913
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gaurav Shah
Officer — CEO
Period of report
Aug 18, 2026
Accepted (ET)
Aug 20, 2026 · 5:25 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 | Aug 18, 2026 | S | 2,293 | $3.381 | D | 1,056,594 | D | |
| Common Stock | holding | — | — | — | 207,897 | I | By Spouse | |
| Common Stock | holding | — | — | — | 198,341 | I | By Gaurav D. Shah Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
- F2The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.