Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2026-05-26 19:47:15 ET · period of report 2026-05-21 · accession 0001140361-26-022894 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2026-05-26 19:47 | 2026-05-21 | RCKT | Shah Gaurav | CEO | M - OptEx | $1.69 | +76.5K | 1.12M | +7% | +$129.3K |
| D | 2026-05-26 19:47 | 2026-05-21 | RCKT | Shah Gaurav | CEO | S - Sale+OE | $3.09 | -55.7K | 1.06M | -5% | -$171.8K |
| D | 2026-05-26 19:47 | 2026-05-21 | RCKT | Shah Gaurav | CEO | M - OptEx | $1.69 | -76.5K | 0 | -100% | -$129.3K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-05-21 | M | A | 76,490 | $1.69 | 1,117,408 | D | — | — | (F1) Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. (F2) Represents shares received upon exercise of a Stock Option in advance of the expiration of such Stock Option. (F1) Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2026-05-21 | S | D | 55,684 | $3.09 | 1,061,724 | D | — | — | (F1) Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. (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. (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. (F1) Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis. |
| 3 | Derivative | Stock Option (Right to Buy) | 2026-05-21 | M | D | 76,490 | $1.69 | 0 | D | $1.69 · — to 2027-04-12 | 76,490 Common Stock | (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. |