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person · Reporting owner

Shah Gaurav

Disclosed activity across 2 companies

Tapewire entity
21205
SEC CIK
0001725922

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627CEOAugust 18, 2026August 20, 2026
Tourmaline Bio, Inc.TALS · Entity 15643DirectorJune 13, 2023June 14, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ROCKET PHARMACEUTICALS, INC.

Report date August 18, 2026 · Filed August 20, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,056,594 Reported balance After 2026-08-18 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-08-18 · Sale · Disposed 2,293 · Balance 1,056,594

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

F2: 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.

Common StockSEC Table I · non-derivativeIndirectBy Spouse207,897 Reported balance Holding disclosure · report date 2026-08-18 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 207,897

Common StockSEC Table I · non-derivativeIndirectBy Gaurav D. Shah Irrevocable Trust198,341 Reported balance Holding disclosure · report date 2026-08-18 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 198,341

Filing footnotes · ownership attribution and instrument terms

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

F2: 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.

Tourmaline Bio, Inc.

Report date June 13, 2023 · Filed June 14, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.54 · Expires 2033-06-13Direct20,500 Reported balance After 2023-06-13 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-13 · Grant · Acquired 20,500 · Balance 20,500

F1: The shares underlying this option shall vest as follows: the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next Annual Meeting.

Filing footnotes · ownership attribution and instrument terms

F1: The shares underlying this option shall vest as follows: the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next Annual Meeting.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
August 18, 2026 Filed Aug 20, 2026 21:25 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 2,293 $3.38 $7,752.63
Disclosure

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.

Read SEC document
August 13, 2026 Filed Aug 17, 2026 21:52 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 2,837 $3.38 $9,591.90
Disclosure

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.

Read SEC document
May 21, 2026 Filed May 26, 2026 23:47 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionStock Option (Right to Buy) · Derivative 76,490 $1.69 Strike: $1.69 $129,344.59
Disclosure

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.

Read SEC document
May 21, 2026 Filed May 26, 2026 23:47 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 55,684 $3.09 $171,840.82
Disclosure

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.

Read SEC document
May 21, 2026 Filed May 26, 2026 23:47 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 76,490 $1.69 $129,344.59
Disclosure

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.

Read SEC document
May 19, 2026 Filed May 21, 2026 20:06 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 2,409 $3.01 $7,260.73
Disclosure

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.

Read SEC document
May 13, 2026 Filed May 14, 2026 20:19 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 2,728 $3.61 $9,837.17
Disclosure

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.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 5,990 $3.34 $19,994.62
Disclosure

SEC source: 0001140361-26-006326 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,046,055

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.

Read SEC document
February 13, 2026 Filed Feb 18, 2026 22:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 12,279 $3.31 $40,668.05
Disclosure

SEC source: 0001140361-26-006043 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,052,045

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.

Read SEC document
February 11, 2026 Filed Feb 13, 2026 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 870,648 $0.00 Strike: $3.24 $0.00
Disclosure

SEC source: 0001140361-26-005412 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 870,648

Underlying: Common Stock · 870,648 shares

Expires 2036-02-11

F3 · derivative.exercise_date: This option represents a right to purchase a total of 870,648 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on February 11, 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.

Read SEC document
February 11, 2026 Filed Feb 13, 2026 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantCommon Stock 286,028 $0.00 $0.00
Disclosure

SEC source: 0001140361-26-005412 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,064,324

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 February 11, 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.

Read SEC document
November 18, 2025 Filed Nov 20, 2025 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 6,276 $2.98 $18,721.31
Disclosure

SEC source: 0001140361-25-042855 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 778,296

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

Read SEC document
August 18, 2025 Filed Aug 20, 2025 21:00 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Tax withholdingCommon Stock 2,234 $3.05 $6,813.70
Disclosure

SEC source: 0001140361-25-032089 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 784,572

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 withheld by the Company in order to pay tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 20, 2025 Filed May 22, 2025 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 2,253 $6.45 $14,522.84
Disclosure

SEC source: 0001140361-25-020160 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 786,806

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.

Read SEC document
May 16, 2025 Filed May 20, 2025 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 3,621 $6.53 $23,637.89
Disclosure

SEC source: 0001140361-25-019899 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 789,059

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.

Read SEC document
April 10, 2025 Filed Apr 14, 2025 22:57 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 PurchaseCommon Stock 20,000 $5.08 $101,600.00
Disclosure

SEC source: 0001140361-25-013804 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 792,680

Read SEC document
February 21, 2025 Filed Feb 25, 2025 21:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 16,303 $10.58 $172,485.74
Disclosure

SEC source: 0001140361-25-005844 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 772,680

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.

Read SEC document
February 11, 2025 Filed Feb 13, 2025 21:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 243,345 $0.00 Strike: $9.88 $0.00
Disclosure

SEC source: 0001140361-25-004296 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,345

Underlying: Common Stock · 243,345 shares

Expires 2035-02-11

F2 · derivative.exercise_date: This option represents a right to purchase a total of 243,345 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 11, 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.

Read SEC document
February 11, 2025 Filed Feb 13, 2025 21:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantCommon Stock 81,655 $0.00 $0.00
Disclosure

SEC source: 0001140361-25-004296 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 788,983

F1 · security: Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
November 21, 2024 Filed Nov 25, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 11,091 $13.05 $144,781.91
Disclosure

SEC source: 0001140361-24-047755 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 707,328

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.

Read SEC document
August 16, 2024 Filed Aug 20, 2024 20:26 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 9,650 $18.50 $178,563.60
Disclosure

SEC source: 0001140361-24-037932 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 718,419

F1 · 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.

Read SEC document
May 16, 2024 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 9,790 $23.35 $228,596.50
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 728,069

F4 · 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.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 9,683 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · derivative · entry 9

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,785

Underlying: Common Stock · 9,683 shares

Expires not disclosed

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.

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · derivative · entry 8

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,940

Underlying: Common Stock · 7,979 shares

Expires not disclosed

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: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 9,683 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 646,134

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.

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 636,451

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: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 196,336 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008886 · form4.xml · derivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,336

Underlying: Common Stock · 196,336 shares

Expires 2034-02-16

F5 · derivative.exercise_date: This option represents a right to purchase a total of 196,336 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, 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.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantCommon Stock 66,577 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008886 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 621,339

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F4 · security: Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 20,272 $29.84 $604,875.94
Disclosure

SEC source: 0001140361-24-008886 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 554,762

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F2 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F3 · shares: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 38,849 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008359 · form4.xml · derivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,468

Underlying: Common Stock · 38,849 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008359 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,919

Underlying: Common Stock · 7,979 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 46,828 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008359 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 575,034

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: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
November 14, 2023 Filed Nov 17, 2023 00:09 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-053709 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,898

Underlying: Common Stock · 7,979 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
November 14, 2023 Filed Nov 17, 2023 00:09 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-053709 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 532,833

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: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 4,767 $15.47 $73,750.26
Disclosure

SEC source: 0001140361-23-040694 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 524,854

F1 · security: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

Read SEC document
August 14, 2023 Filed Aug 15, 2023 20:06 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-039901 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,877

Underlying: Common Stock · 7,979 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
August 14, 2023 Filed Aug 15, 2023 20:06 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-039901 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 529,621

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: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
June 13, 2023 Filed Jun 14, 2023 23:01 UTC Tourmaline Bio, Inc. TALS · Entity 15643 GrantStock Option (Right to Buy) · Derivative 20,500 $0.00 Strike: $2.54 $0.00
Disclosure

SEC source: 0001209191-23-037190 · doc4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,500

Underlying: Common Stock · 20,500 shares

Expires 2033-06-13

F1 · derivative.exercise_date: The shares underlying this option shall vest as follows: the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next Annual Meeting.

Read SEC document
May 17, 2023 Filed May 19, 2023 20:05 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 4,122 $21.38 $88,107.75
Disclosure

SEC source: 0001140361-23-025742 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 521,642

F1 · security: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

Read SEC document
May 14, 2023 Filed May 17, 2023 00:04 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-025133 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,856

Underlying: Common Stock · 7,979 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
May 14, 2023 Filed May 17, 2023 00:04 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-025133 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 525,764

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: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
February 17, 2023 Filed Feb 23, 2023 00:27 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 12,194 $19.06 $232,417.64
Disclosure

SEC source: 0001140361-23-008102 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,885

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F2 · price: This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:45 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantRestricted Stock Units · Derivative 116,317 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-007482 · form4.xml · derivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,317

Underlying: Common Stock · 116,317 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:45 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 348,590 $0.00 Strike: $20.04 $0.00
Disclosure

SEC source: 0001140361-23-007482 · form4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,590

Underlying: Common Stock · 348,590 shares

Expires 2033-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 348,590 shares of the Issuer's common stock, one-third (1/3) 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.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionRestricted Stock Units · Derivative 31,440 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-008098 · form4.xml · derivative · entry 6

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,835

Underlying: Common Stock · 31,440 shares

Expires not disclosed

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: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F6 · derivative.expiration_date: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantRestricted Stock Units · Derivative 116,317 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-008098 · form4.xml · derivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,317

Underlying: Common Stock · 116,317 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantStock Option (Right to Buy) · Derivative 348,590 $0.00 Strike: $20.04 $0.00
Disclosure

SEC source: 0001140361-23-008098 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,590

Underlying: Common Stock · 348,590 shares

Expires 2033-02-13

F3 · derivative.exercise_date: This option represents a right to purchase a total of 348,590 shares of the Issuer's common stock, one-third (1/3) 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.

Read SEC document
February 14, 2023 Filed Feb 23, 2023 00:25 UTC Amendment ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 Exercise / conversionCommon Stock 31,440 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-008098 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,079

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: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.

F2 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit award.

Read SEC document
February 14, 2023 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherRestricted Stock Units · Derivative 67,785 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · derivative · entry 11

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,947 shares

Expires not disclosed

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F2 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2023 Filed May 20, 2024 20:33 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherCommon Stock 67,785 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 737,859

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.