AG˹ٷ

STOCK TITAN

[Form 4] Rocket Pharmaceuticals, Inc. Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

John Militello, Vice President of Finance, Treasurer and Principal Accounting Officer at Rocket Pharmaceuticals, Inc. (RCKT), reported two sales of common stock tied to RSU vesting. On 08/18/2025 he sold 699 shares at $3.065, leaving 56,285 shares beneficially owned. On 08/19/2025 he sold 361 shares at $2.996, leaving 55,924 shares owned. The filing states these shares were sold to pay tax withholding obligations related to Restricted Stock Units that convert one-for-one to common stock. The Form 4 was signed by an attorney-in-fact on 08/20/2025.

John Militello, Vicepresidente della Finanza, Tesoriere e Responsabile Principale della Contabilità di Rocket Pharmaceuticals, Inc. (RCKT), ha effettuato due vendite di azioni ordinarie relative al vesting di RSU. Il 18/08/2025 ha venduto 699 azioni a $3,065, rimanendo con la proprietà beneficiaria di 56.285 azioni. Il 19/08/2025 ha venduto 361 azioni a $2,996, portando il totale a 55.924 azioni possedute. La comunicazione indica che le azioni sono state vendute per assolvere obblighi fiscali collegati a Restricted Stock Units che si convertono uno a uno in azioni ordinarie. Il Modulo 4 è stato firmato da un procuratore il 20/08/2025.

John Militello, Vicepresidente de Finanzas, Tesorero y Oficial Principal de Contabilidad de Rocket Pharmaceuticals, Inc. (RCKT), informó dos ventas de acciones ordinarias vinculadas al vesting de RSU. El 18/08/2025 Ի徱ó 699 acciones a $3.065, quedando con 56.285 acciones en propiedad beneficiaria. El 19/08/2025 Ի徱ó 361 acciones a $2.996, dejando 55.924 acciones en posesión. La presentación indica que las acciones se vendieron para cubrir obligaciones fiscales relacionadas con Restricted Stock Units que se convierten una a una en acciones ordinarias. El Formulario 4 fue firmado por un apoderado el 20/08/2025.

John Militello, Rocket Pharmaceuticals, Inc. (RCKT)� 재무 부사장, 재무담당 � 수석 회계책임자는 RSU(제한주식 단위) 권리확정� 관련된 보통� � 건의 매각� 보고했습니다. 2025-08-18699�� 주당 $3.065� 매도하여 56,285�� 실질 보유� 유지했습니다. 2025-08-19에는 361�� 주당 $2.996� 매도하여 보유주식� 55,924�가 되었습니�. 보고서에� � 주식들이 일대일로 보통주로 전환되는 Restricted Stock Units와 관련된 원천징수� 납부 의무� 이행하기 위해 매각되었다고 적혀 있습니다. Form 4� 2025-08-20� 대리인� 의해 서명되었습니�.

John Militello, Vice-Président des Finances, Trésorier et Responsable Comptable Principal chez Rocket Pharmaceuticals, Inc. (RCKT), a déclaré deux ventes d'actions ordinaires liées au vesting de RSU. Le 18/08/2025, il a vendu 699 actions à 3,065 $, restant titulaire bénéficiaire de 56 285 actions. Le 19/08/2025, il a vendu 361 actions à 2,996 $, laissant 55 924 actions en sa possession. Le dépôt indique que ces actions ont été vendues pour satisfaire des obligations fiscales liées à des Restricted Stock Units qui se convertissent une pour une en actions ordinaires. Le formulaire 4 a été signé par un mandataire le 20/08/2025.

John Militello, Vice President of Finance, Schatzmeister und Principal Accounting Officer bei Rocket Pharmaceuticals, Inc. (RCKT), meldete zwei Verkäufe von Stammaktien im Zusammenhang mit dem Vesting von RSUs. Am 18.08.2025 verkaufte er 699 Aktien zu $3,065, womit er 56.285 Aktien weiterhin wirtschaftlich besitzt. Am 19.08.2025 verkaufte er 361 Aktien zu $2,996, wodurch sich der Bestand auf 55.924 Aktien verringerte. Die Meldung gibt an, dass die Aktien verkauft wurden, um steuerliche Abzugspflichten im Zusammenhang mit Restricted Stock Units zu erfüllen, die eins zu eins in Stammaktien umgewandelt werden. Das Formular 4 wurde am 20.08.2025 von einem Bevollmächtigten unterzeichnet.

Positive
  • Transparent disclosure of dates, share amounts and prices for the sales
  • Reason for sale provided (tax withholding related to RSU vesting), reducing potential misinterpretation
  • Timely filing with signature provided by attorney-in-fact
Negative
  • Insider sale of 1,060 shares reduces the reporting person's beneficial ownership from 56,285 to 55,924 shares
  • Sales occurred at low prices (~$3.00), which could be viewed negatively by some investors despite being for tax withholding

Insights

TL;DR: Insider sales were executed to satisfy tax withholding on RSU vesting; transaction sizes are small relative to total shares outstanding.

The reported transactions are routine tax withholdings following RSU vesting rather than open-market disposals for other purposes. The total sold was 1,060 shares across two days at prices near $3.00. Such sales typically have limited informational content about company prospects but reduce the insider's post-transaction holdings modestly from 56,285 to 55,924 shares.

TL;DR: Filing shows timely disclosure and describes the sales as tax-withholding related, consistent with standard RSU practices.

The Form 4 discloses the reporting persons role and the reason for the sales (tax withholding for RSU vesting), which aligns with common disclosure practices. The document is signed by an attorney-in-fact, indicating proper execution. The transactions appear administrative in nature and the filing provides clear quantities, dates and prices for investor transparency.

John Militello, Vicepresidente della Finanza, Tesoriere e Responsabile Principale della Contabilità di Rocket Pharmaceuticals, Inc. (RCKT), ha effettuato due vendite di azioni ordinarie relative al vesting di RSU. Il 18/08/2025 ha venduto 699 azioni a $3,065, rimanendo con la proprietà beneficiaria di 56.285 azioni. Il 19/08/2025 ha venduto 361 azioni a $2,996, portando il totale a 55.924 azioni possedute. La comunicazione indica che le azioni sono state vendute per assolvere obblighi fiscali collegati a Restricted Stock Units che si convertono uno a uno in azioni ordinarie. Il Modulo 4 è stato firmato da un procuratore il 20/08/2025.

John Militello, Vicepresidente de Finanzas, Tesorero y Oficial Principal de Contabilidad de Rocket Pharmaceuticals, Inc. (RCKT), informó dos ventas de acciones ordinarias vinculadas al vesting de RSU. El 18/08/2025 Ի徱ó 699 acciones a $3.065, quedando con 56.285 acciones en propiedad beneficiaria. El 19/08/2025 Ի徱ó 361 acciones a $2.996, dejando 55.924 acciones en posesión. La presentación indica que las acciones se vendieron para cubrir obligaciones fiscales relacionadas con Restricted Stock Units que se convierten una a una en acciones ordinarias. El Formulario 4 fue firmado por un apoderado el 20/08/2025.

John Militello, Rocket Pharmaceuticals, Inc. (RCKT)� 재무 부사장, 재무담당 � 수석 회계책임자는 RSU(제한주식 단위) 권리확정� 관련된 보통� � 건의 매각� 보고했습니다. 2025-08-18699�� 주당 $3.065� 매도하여 56,285�� 실질 보유� 유지했습니다. 2025-08-19에는 361�� 주당 $2.996� 매도하여 보유주식� 55,924�가 되었습니�. 보고서에� � 주식들이 일대일로 보통주로 전환되는 Restricted Stock Units와 관련된 원천징수� 납부 의무� 이행하기 위해 매각되었다고 적혀 있습니다. Form 4� 2025-08-20� 대리인� 의해 서명되었습니�.

John Militello, Vice-Président des Finances, Trésorier et Responsable Comptable Principal chez Rocket Pharmaceuticals, Inc. (RCKT), a déclaré deux ventes d'actions ordinaires liées au vesting de RSU. Le 18/08/2025, il a vendu 699 actions à 3,065 $, restant titulaire bénéficiaire de 56 285 actions. Le 19/08/2025, il a vendu 361 actions à 2,996 $, laissant 55 924 actions en sa possession. Le dépôt indique que ces actions ont été vendues pour satisfaire des obligations fiscales liées à des Restricted Stock Units qui se convertissent une pour une en actions ordinaires. Le formulaire 4 a été signé par un mandataire le 20/08/2025.

John Militello, Vice President of Finance, Schatzmeister und Principal Accounting Officer bei Rocket Pharmaceuticals, Inc. (RCKT), meldete zwei Verkäufe von Stammaktien im Zusammenhang mit dem Vesting von RSUs. Am 18.08.2025 verkaufte er 699 Aktien zu $3,065, womit er 56.285 Aktien weiterhin wirtschaftlich besitzt. Am 19.08.2025 verkaufte er 361 Aktien zu $2,996, wodurch sich der Bestand auf 55.924 Aktien verringerte. Die Meldung gibt an, dass die Aktien verkauft wurden, um steuerliche Abzugspflichten im Zusammenhang mit Restricted Stock Units zu erfüllen, die eins zu eins in Stammaktien umgewandelt werden. Das Formular 4 wurde am 20.08.2025 von einem Bevollmächtigten unterzeichnet.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Militello John

(Last) (First) (Middle)
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE

(Street)
CRANBURY NJ 08512

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ROCKET PHARMACEUTICALS, INC. [ RCKT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
08/18/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock(1) 08/18/2025 S(2) 699 D $3.065 56,285 D
Common Stock(1) 08/19/2025 S(2) 361 D $2.996 55,924 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
2. The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
Remarks:
Vice President of Finance, Treasurer, Principal Accounting Officer
/s/ Martin Wilson, as attorney-in-fact for John Militello 08/20/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What did John Militello report on Form 4 for RCKT?

He reported selling 699 shares on 08/18/2025 at $3.065 and 361 shares on 08/19/2025 at $2.996 to satisfy tax withholding on RSU vesting.

Why were the shares sold according to the filing?

The filing states the shares were sold to pay tax withholding obligations in connection with Restricted Stock Units that convert one-for-one to common stock.

How many shares does Militello beneficially own after the reported transactions?

After the sales reported, his beneficial ownership is listed as 55,924 shares following the 08/19/2025 sale.

Who signed the Form 4 and when?

The form was signed by Martin Wilson, as attorney-in-fact for John Militello on 08/20/2025.

Do the filings indicate these were RSU-related transactions?

Yes. The explanation states holdings include Restricted Stock Units (RSUs) that convert to common stock on a one-for-one basis and the sales were to cover withholding taxes.
Rocket Pharmaceu

NASDAQ:RCKT

RCKT Rankings

RCKT Latest News

RCKT Latest SEC Filings

RCKT Stock Data

326.95M
104.27M
3.03%
91.39%
10.41%
Biotechnology
Pharmaceutical Preparations
United States
NEW YORK