Notice of Proposed Sale · 144

Rocket Pharmaceuticals, Inc.

RCKTNASDAQEQUITYCurrent

Notice of Proposed Sale

Filed Aug 18, 2026Accepted Aug 18, 2026, 3:49 PM EDTFiling CIK 1281895Accession 0001959173-26-006169

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Structured filing — 144

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Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.

Proposed-sale notice

Issuer: ROCKET PHARMACEUTICALS, INC.
Issuer CIK: 0001281895
SEC file number: 001-36829
Phone: 646-440-9100
Person for whose account securities are to be sold: Shah Gaurav
Relationships to issuer: Officer · Director
Street: 350 FIFTH AVENUE
Street (continued): SUITE 7530
City: NEW YORK
State / country code: NY
Postal code: 10118

Securities proposed for sale

Securities proposed for sale · 1 reported row
Security	Proposed units	Aggregate market value	Units outstanding	Approximate sale date	Exchange	Broker / market maker
Common	2,293	7,753.55	109,774,597	08/18/2026	NASDAQ	Fidelity Brokerage Services LLC

Broker / market maker — proposed row 1, entry 1

Name: Fidelity Brokerage Services LLC
Street: 900 Salem Street
City: Smithfield
State / country code: RI
Postal code: 02917

Acquisition of securities to be sold

Acquisition of securities to be sold · 1 reported row
Security	Acquired	Nature of acquisition	Acquired from	Amount acquired	Gift transaction	Payment date	Nature of payment
Common	08/14/2026	Restricted Stock Vesting	Issuer	2,293	N	08/14/2026	Compensation

Sales reported in the preceding three months

Sales reported in the preceding three months · 3 reported rows
Seller	Security	Sale date	Amount sold	Gross proceeds
Gaurav Shah	Common	05/19/2026	2,409	7,261.69
Gaurav Shah	Common	05/21/2026	55,684	171,818.55
Gaurav Shah	Common	08/13/2026	2,837	9,592.18

Seller — prior-sale row 1, entry 1

Name: Gaurav Shah
Street: 9 Cedarbrook Drive
City: Cranbury
State / country code: NJ
Postal code: 08512

Seller — prior-sale row 2, entry 1

Name: Gaurav Shah
Street: 9 Cedarbrook Drive,
City: Cranbury
State / country code: NJ
Postal code: 08512

Seller — prior-sale row 3, entry 1

Name: Gaurav Shah
Street: 9 Cedarbrook Drive
City: Cranbury
State / country code: NJ
Postal code: 08512

Prior-sale reporting

Nothing to report for the preceding three months: N

Remarks

Sale includes an amount necessary to cover a tax obligation resulting from the settlement of a vested equity award distribution.

Notice signature

Notice date: 08/18/2026
Signed: /s/ Louis Kurnick, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Gaurav Shah

Company context

Rocket Pharmaceuticals, Inc. (NASDAQ: RCKT) is a fully integrated commercial-stage biotechnology company developing genetic medicines for rare and life-threatening diseases, with a strategic focus on inherited cardiovascular disorders and additional programs in hematology and immunology. Rocket's cardiovascular portfolio includes three clinical-stage gene therapy programs targeting hypertrophic, arrhythmogenic, and dilated cardiomyopathies, together representing one of the broadest pipelines focused on inherited heart disease. The Company’s integrated platform combines proprietary adeno-associated virus (AAV) manufacturing capabilities and extensive clinical experience in cardiac gene therapy.

Current securities

RCKTNASDAQ · EQUITY · Current

Historical securities (1)

RCKTWNASDAQ · WARRANT · Historical · closed Sep 2, 2026

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