RCKT

SEC source: 0001140361-26-036688 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 598,489

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-033915 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 673,853

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-033913 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,056,594

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-033417 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,058,887

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-033413 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 674,484

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-032818 · form4.xml · nonDerivative · entry 1

Stevens Christopher James · CIK 0002079768 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 505,784

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · shares: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-032816 · form4.xml · nonDerivative · entry 1

Chaudhuri Sarbani · CIK 0002064940 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,809

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-031473 · form4.xml · derivative · entry 2

Stevens Christopher James · CIK 0002079768 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,428

Underlying: Common Stock · 101,428 shares

Expires 2036-08-03

F3 · derivative.exercise_date: This 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.

SEC source: 0001140361-26-031473 · form4.xml · nonDerivative · entry 1

Stevens Christopher James · CIK 0002079768 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 542,442

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · shares: Represents 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-031471 · form4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,522

F1 · security: Rocket Pharmaceuticals, Inc. (the "Company") entered into a consulting agreement with the Reporting Person, dated July 21, 2026, for consulting services related to the Company's strategic and financial activities. As compensation for services rendered, the Reporting Person received 150,000 restricted stock units ("RSUs") on August 3, 2026.

F1 · kind: Rocket Pharmaceuticals, Inc. (the "Company") entered into a consulting agreement with the Reporting Person, dated July 21, 2026, for consulting services related to the Company's strategic and financial activities. As compensation for services rendered, the Reporting Person received 150,000 restricted stock units ("RSUs") on August 3, 2026.

F2 · price: Represents RSUs that convert to common stock on a one-for-one basis. One-third of such RSUs will vest in full on August 3, 2027, with the remaining two-thirds vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-26-027681 · form4.xml · derivative · entry 3

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,960

Underlying: Common Stock · 78,960 shares

Expires 2036-06-18

F3 · derivative.exercise_date: This option represents a right to purchase a total of 78,960 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027681 · form4.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,499

F1 · security: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F1 · kind: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F1 · price: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F1 · acquired: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

SEC source: 0001140361-26-027679 · form4.xml · derivative · entry 2

Dolsten Mikael · CIK 0001437590 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,860

Underlying: Common Stock · 64,860 shares

Expires 2036-06-18

F2 · derivative.exercise_date: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027679 · form4.xml · nonDerivative · entry 1

Dolsten Mikael · CIK 0001437590 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,082

F1 · security: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F2 · kind: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

F2 · price: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027680 · form4.xml · derivative · entry 2

Fong Peter · CIK 0002062181 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,860

Underlying: Common Stock · 64,860 shares

Expires 2036-06-18

F2 · derivative.exercise_date: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027680 · form4.xml · nonDerivative · entry 1

Fong Peter · CIK 0002062181 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,195

F1 · security: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F2 · kind: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

F2 · price: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027678 · form4.xml · derivative · entry 2

Malik Fady Ibraham · CIK 0001551778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,860

Underlying: Common Stock · 64,860 shares

Expires 2036-06-18

F2 · derivative.exercise_date: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027678 · form4.xml · nonDerivative · entry 1

Malik Fady Ibraham · CIK 0001551778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,862

F1 · security: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F1 · price: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

SEC source: 0001140361-26-027677 · form4.xml · derivative · entry 3

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,860

Underlying: Common Stock · 64,860 shares

Expires 2036-06-18

F2 · derivative.exercise_date: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027677 · form4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,522

F1 · security: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F1 · price: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

SEC source: 0001140361-26-027676 · form4.xml · derivative · entry 2

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,860

Underlying: Common Stock · 64,860 shares

Expires 2036-06-18

F2 · derivative.exercise_date: This option represents a right to purchase a total of 64,860 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.

SEC source: 0001140361-26-027676 · form4.xml · nonDerivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,862

F1 · security: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

F1 · price: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 17

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,091

Underlying: Common Stock · 9,091 shares

Expires 2034-02-16

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F15 · derivative.exercise_date: This option represents a right to purchase a total of 9,091 shares of the Issuer's common stock, one-half of which will become fully vested and exercisable on May 26, 2027, with the remaining shares becoming fully vested and exercisable on May 26, 2028, in each case, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 16

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,899

Underlying: Common Stock · 24,899 shares

Expires 2033-02-14

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F14 · derivative.exercise_date: Represents a right to purchase shares of the Issuer's common stock, which will become fully vested on May 26, 2027, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 15

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,061

Underlying: Common Stock · 16,061 shares

Expires 2032-04-18

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F14 · derivative.exercise_date: Represents a right to purchase shares of the Issuer's common stock, which will become fully vested on May 26, 2027, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 14

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,002

Underlying: Common Stock · 15,002 shares

Expires 2032-02-14

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F14 · derivative.exercise_date: Represents a right to purchase shares of the Issuer's common stock, which will become fully vested on May 26, 2027, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 13

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,509

Underlying: Common Stock · 51,509 shares

Expires 2031-05-26

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F14 · derivative.exercise_date: Represents a right to purchase shares of the Issuer's common stock, which will become fully vested on May 26, 2027, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 12

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,545 shares

Expires 2034-02-16

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F13 · derivative.exercise_date: This option represents a right to purchase a total of 24,545 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on February 16, 2026, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 11

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 49,798 shares

Expires 2033-02-14

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F12 · derivative.exercise_date: This option represents a right to purchase a total of 49,798 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on February 14, 2024, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 10

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,910 shares

Expires 2032-04-18

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F11 · derivative.exercise_date: This option represents a right to purchase a total of 28,910 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on April 18, 2023, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 9

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,003 shares

Expires 2032-02-14

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F10 · derivative.exercise_date: This option represents a right to purchase a total of 27,003 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on February 14, 2023, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 8

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires 2031-02-04

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F9 · derivative.exercise_date: The option represents a right to purchase a total of 18,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 7

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires 2030-08-03

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F8 · derivative.exercise_date: This option represents a right to purchase a total of 18,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on August 3, 2021, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 6

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2030-02-10

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F7 · derivative.exercise_date: This option represents a right to purchase a total of 2,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 10, 2021, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 5

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2030-02-06

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F6 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, 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.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 4

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2029-09-02

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F5 · derivative.exercise_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on September 2, 2020, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 3

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2029-01-28

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F4 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, 6,672 of which will become fully vested and exercisable on January 28, 2020, with the remaining 13,328 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2028-06-25

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F3 · derivative.exercise_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on June 25, 2019, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-023153 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2028-03-29

F1 · price: On May 26, 2026, the Issuer cancelled, pursuant to an option exchange program, eligible out-of-the-money stock options tendered by the Reporting Person, in exchange for the issuance of replacement stock options with an exercise price of $3.00, which was the closing price of the Issuer's Common Stock on the Nasdaq Global Market on May 26, 2026.

F2 · derivative.exercise_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-26-022894 · form4.xml · derivative · entry 5

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,490 shares

Expires 2027-04-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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.

SEC source: 0001140361-26-022894 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,061,724

F1 · security: Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis.

F3 · kind: 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 · price: 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 · balance_after: Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-022894 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,117,408

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis.

F2 · security: Represents shares received upon exercise of a Stock Option in advance of the expiration of such Stock Option.

F1 · balance_after: Holdings include Restricted Stock Units that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-022445 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,780

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-022447 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,040,918

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-022446 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 677,977

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-021305 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,164

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-021321 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 678,639

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-021315 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,043,327

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-020649 · form4.xml · nonDerivative · entry 1

Chaudhuri Sarbani · CIK 0002064940 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,510

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

SEC source: 0001140361-26-006330 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,019

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: 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.

F1 · balance_after: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.