Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627 | See Remarks | May 26, 2026 | May 28, 2026 |
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 May 26, 2026 · Filed May 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.75 · Expires 2028-03-29 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-26 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.61 · Expires 2028-06-25 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-26 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.56 · Expires 2029-01-28 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-26 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.85 · Expires 2029-09-02 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-26 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.72 · Expires 2030-02-06 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-26 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.89 · Expires 2030-02-10 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-05-26 · Disposition to issuer · Disposed 2,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.82 · Expires 2030-08-03 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-05-26 · Disposition to issuer · Disposed 18,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $62.32 · Expires 2031-02-04 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-05-26 · Disposition to issuer · Disposed 18,000 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.05 · Expires 2032-02-14 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2026-05-26 · Disposition to issuer · Disposed 27,003 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.12 · Expires 2032-04-18 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2026-05-26 · Disposition to issuer · Disposed 28,910 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.04 · Expires 2033-02-14 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2026-05-26 · Disposition to issuer · Disposed 49,798 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.01 · Expires 2034-02-16 | Direct | 0 |
Reported balance
After 2026-05-26 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2026-05-26 · Disposition to issuer · Disposed 24,545 · Balance 0 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2031-05-26 | Direct | 51,509 |
Reported balance
After 2026-05-26 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2026-05-26 · Grant · Acquired 51,509 · Balance 51,509 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2032-02-14 | Direct | 15,002 |
Reported balance
After 2026-05-26 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2026-05-26 · Grant · Acquired 15,002 · Balance 15,002 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2032-04-18 | Direct | 16,061 |
Reported balance
After 2026-05-26 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2026-05-26 · Grant · Acquired 16,061 · Balance 16,061 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2033-02-14 | Direct | 24,899 |
Reported balance
After 2026-05-26 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2026-05-26 · Grant · Acquired 24,899 · Balance 24,899 F1: 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2034-02-16 | Direct | 9,091 |
Reported balance
After 2026-05-26 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2026-05-26 · Grant · Acquired 9,091 · Balance 9,091 F1: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: 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.
F12: 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.
F13: 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.
F14: 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.
F15: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 02, 2019 Filed Sep 4, 2019 20:21 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $10.85 | $0.00 |
DisclosureSEC source: 0001209191-19-048187 · doc4.xml · derivative · entry 1 Militello John · CIK 0001662170 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2029-09-02 F1 · 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. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 23:34 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001140361-19-002007 · form4.xml · derivative · entry 1 Militello John · CIK 0001662170 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-01-28 F1 · 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. Read SEC document |
| June 25, 2018 Filed Jun 28, 2018 18:21 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $20.61 | $0.00 |
DisclosureSEC source: 0001140361-18-030373 · form4.xml · derivative · entry 1 Militello John · CIK 0001662170 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-25 F1 · 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. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 00:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $18.75 | $0.00 |
DisclosureSEC source: 0000899243-18-009112 · doc4.xml · derivative · entry 1 Militello John · CIK 0001662170 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-03-29 F1 · 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. 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.