RCKT on Nasdaq
Rocket Pharmaceuticals Inc.
Biopharmaceutical company based in Cranbury1
In its 2026 annual report the company says: “We are a fully integrated, late-stage biotechnology company focused on the development, manufacturing, and potential commercialization of genetic therapies for rare and often fatal diseases with high unmet medical need. Our innovative multi-platform approach is designed to create best-in-class gene therapy product candidates aimed at correcting the underlying genetic causes of complex inherited cardiomyopathies and related disorders, with the potential to deliver transformative and durable clinical benefits.”5 Its shares trade on Nasdaq under the symbol RCKT.1
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Last updated Oct 21, 2026.
Overview
- TickerRCKT on Nasdaq1
- Industrypharmaceutical industry1
- HeadquartersCranbury1
- Websiterocketpharma.com
- Incorporated inDE4
- Business address350 Fifth Avenue, Suite 7530, New York, Ny 101184
- Filer categoryNon-accelerated filer, Smaller reporting company4
- Legal formCorporation3
- LEI549300R7VV82YUIN4Y933
- StatusActive3
- LEI statusLapsed (not renewed)3
- Registered addressC/O Corporation Service Company, 19808 Wilmington, United States3
- Registered withDivision of Corporations, Department of State, 30620533
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We are a fully integrated, late-stage biotechnology company focused on the development, manufacturing, and potential commercialization of genetic therapies for rare and often fatal diseases with high unmet medical need. Our innovative multi-platform approach is designed to create best-in-class gene therapy product candidates aimed at correcting the underlying genetic causes of complex inherited cardiomyopathies and related disorders, with the potential to deliver transformative and durable clinical benefits. Our platform is supported by in-house research and development capabilities and current cGMP manufacturing facilities that enable end-to-end control of clinical production, process development, and scale-up for potential commercialization.5 From its latest annual report
Financials
From the company’s reports to the SEC. Every number links to the filing it came from.
Key numbers, fiscal 2025
Financial statements
Every line of the income statement as filed: the last 2 fiscal years, latest first.6
| Period ending | 2025-12-31 | 2024-12-31 |
|---|---|---|
| Revenue | $0 | $0 |
| Research and development | $142.0M | $171.2M |
| General and administrative | $86.5M | $102.0M |
| Restructuring | $3.2M | $0 |
| Total operating expenses | $231.7M | $273.2M |
| Loss from operations | -$231.7M | -$273.2M |
| Interest expense | -$1.9M | -$1.9M |
| Interest and other income, net | $3.2M | $8.3M |
| Accretion of discount on investments, net | $7.3M | $8.1M |
| Net loss | -$223.1M | -$258.7M |
| Net loss per share - basic (in dollars per share) | -$2.01 | -$2.73 |
| Net loss per share - diluted (in dollars per share) | -$2.01 | -$2.73 |
| Weighted-average common shares outstanding - basic (in shares) | 111.1M shares | 94.8M shares |
| Weighted-average common shares outstanding - diluted (in shares) | 111.1M shares | 94.8M shares |
No quarter-by-quarter statement was filed.
Every line of the balance sheet as filed: the last 3 fiscal years (annual) or 3 quarters (quarterly), latest first.6
| Period ending | 2025-12-31 | 2024-12-31 | 2023-12-31 |
|---|---|---|---|
| Cash and cash equivalents | $77.6M | $163.6M | |
| Investments | $111.4M | $208.7M | |
| Prepaid expenses and other current assets | $3.8M | $5.8M | |
| Total current assets | $192.7M | $378.2M | |
| Property and equipment, net | $28.2M | $36.8M | |
| Goodwill | $39.2M | $39.2M | |
| Intangible assets | $25.1M | $25.1M | |
| Restricted cash | $1.3M | $1.4M | |
| Deposits | $482.0K | $529.0K | |
| Operating lease right-of-use assets, net | $3.2M | $4.2M | |
| Finance lease right-of-use asset, net | $40.2M | $42.4M | |
| Total assets | $330.4M | $527.7M | |
| Accounts payable and accrued expenses | $27.3M | $37.8M | |
| Operating lease liabilities, current | $1.0M | $1.0M | |
| Finance lease liability, current | $1.9M | $1.9M | |
| Total current liabilities | $30.2M | $40.7M | |
| Operating lease liabilities, non-current | $2.6M | $3.3M | |
| Finance lease liability, non-current | $19.4M | $19.4M | |
| Other liabilities | $1.1M | $1.1M | |
| Total liabilities | $53.2M | $64.5M | |
| Common stock, $0.01 par value, 180,000,000 shares authorized; 108,319,783 and 106,453,818 shares issued and outstanding as of December 31, 2025, and December 31, 2024, respectively | $1.1M | $1.1M | |
| Additional paid-in capital | $1.7B | $1.7B | |
| Accumulated other comprehensive (loss) income | -$31.0K | $66.0K | |
| Accumulated deficit | -$1.4B | -$1.2B | |
| Total stockholders' equity | $277.2M | $463.2M | $492.6M |
| Total liabilities and stockholders' equity | $330.4M | $527.7M | |
| Preferred stock, par value (in dollars per share) | $0.01 | $0.01 | |
| Preferred stock, shares authorized (in shares) | 5.0M shares | 5.0M shares | |
| Common stock, par value (in dollars per share) | $0.01 | $0.01 | |
| Common stock, shares authorized (in shares) | 180.0M shares | 180.0M shares | |
| Common stock, shares issued (in shares) | 108.3M shares | 106.5M shares | |
| Common stock, shares outstanding (in shares) | 108.3M shares | 106.5M shares |
| Period ending | 2025-12-31 | 2024-12-31 | 2023-12-31 |
|---|---|---|---|
| Cash and cash equivalents | $77.6M | $163.6M | |
| Investments | $111.4M | $208.7M | |
| Prepaid expenses and other current assets | $3.8M | $5.8M | |
| Total current assets | $192.7M | $378.2M | |
| Property and equipment, net | $28.2M | $36.8M | |
| Goodwill | $39.2M | $39.2M | |
| Intangible assets | $25.1M | $25.1M | |
| Restricted cash | $1.3M | $1.4M | |
| Deposits | $482.0K | $529.0K | |
| Operating lease right-of-use assets, net | $3.2M | $4.2M | |
| Finance lease right-of-use asset, net | $40.2M | $42.4M | |
| Total assets | $330.4M | $527.7M | |
| Accounts payable and accrued expenses | $27.3M | $37.8M | |
| Operating lease liabilities, current | $1.0M | $1.0M | |
| Finance lease liability, current | $1.9M | $1.9M | |
| Total current liabilities | $30.2M | $40.7M | |
| Operating lease liabilities, non-current | $2.6M | $3.3M | |
| Finance lease liability, non-current | $19.4M | $19.4M | |
| Other liabilities | $1.1M | $1.1M | |
| Total liabilities | $53.2M | $64.5M | |
| Common stock, $0.01 par value, 180,000,000 shares authorized; 108,319,783 and 106,453,818 shares issued and outstanding as of December 31, 2025, and December 31, 2024, respectively | $1.1M | $1.1M | |
| Additional paid-in capital | $1.7B | $1.7B | |
| Accumulated other comprehensive (loss) income | -$31.0K | $66.0K | |
| Accumulated deficit | -$1.4B | -$1.2B | |
| Total stockholders' equity | $277.2M | $463.2M | $492.6M |
| Total liabilities and stockholders' equity | $330.4M | $527.7M | |
| Preferred stock, par value (in dollars per share) | $0.01 | $0.01 | |
| Preferred stock, shares authorized (in shares) | 5.0M shares | 5.0M shares | |
| Common stock, par value (in dollars per share) | $0.01 | $0.01 | |
| Common stock, shares authorized (in shares) | 180.0M shares | 180.0M shares | |
| Common stock, shares issued (in shares) | 108.3M shares | 106.5M shares | |
| Common stock, shares outstanding (in shares) | 108.3M shares | 106.5M shares |
Cash flow is reported year to date, not quarter by quarter, so there are no separate quarterly figures.
Every line of the cash flow as filed: the last 2 fiscal years, latest first.6
| Period ending | 2025-12-31 | 2024-12-31 |
|---|---|---|
| Net loss | -$223.1M | -$258.7M |
| Depreciation and amortization of property and equipment | $8.9M | $7.2M |
| Amortization of finance lease right of use asset | $2.2M | $2.2M |
| Impairment of operating lease right-of-use asset | $262.0K | $0 |
| Stock-based compensation | $37.1M | $43.9M |
| Accretion of discount on investments, net | -$7.0M | -$8.1M |
| Change in fair value of warrant liabilities | $0 | -$1.9M |
| Prepaid expenses and other assets | $2.1M | -$661.0K |
| Accounts payable and accrued expenses | -$10.4M | $6.1M |
| Operating lease liabilities and right of use assets, net | $45.0K | $89.0K |
| Finance lease liability | $35.0K | $95.0K |
| Other liabilities | -$81.0K | $81.0K |
| Net cash used in operating activities | -$190.0M | -$209.7M |
| Purchases of investments | -$276.6M | -$245.9M |
| Proceeds from maturities of investments | $380.8M | $383.5M |
| Purchases of property and equipment | -$440.0K | -$5.9M |
| Net cash provided by investing activities | $103.8M | $131.7M |
| Issuance of common stock pursuant to exercise of stock options | $0 | $3.2M |
| Return of related party short-swing profits | $215.0K | $0 |
| Repurchase of restricted stock units to satisfy tax withholding | -$67.0K | $0 |
| Net cash provided by financing activities | $148.0K | $185.7M |
| Net change in cash, cash equivalents and restricted cash | -$86.1M | $107.7M |
| Accrued purchases of property and equipment, ending balance | $0 | $185.0K |
| Receivables from sale of property and equipment, ending balance | $0 | $135.0K |
| Operating lease liabilities | $0 | $1.1M |
| Operating lease right of use assets | $0 | $1.1M |
| Net unrealized loss on investments | -$97.0K | -$253.0K |
No quarter-by-quarter statement was filed.
Corporate structure
Rocket Pharmaceuticals Inc. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.
Major holders of Rocket Pharmaceuticals Inc.
- VANGUARD PORTFOLIO MANAGEMENT LLC Filed SCHEDULE 13G on Rocket Pharmaceuticals Inc., latest Jul 31, 2026
- VANGUARD GROUP INC Filed SCHEDULE 13G/A on Rocket Pharmaceuticals Inc., latest Mar 27, 2026 (5 filings since Feb 10, 2022)
- MAVERICK CAPITAL LTD Filed SCHEDULE 13G/A on Rocket Pharmaceuticals Inc., latest Feb 13, 2026 (3 filings since Apr 14, 2025)
- Wellington Management Company Filed SCHEDULE 13G/A on Rocket Pharmaceuticals Inc., latest Jun 5, 2025 (9 filings since Feb 4, 2022)
- RTW INVESTMENTS, LP Filed SC 13D/A on Rocket Pharmaceuticals Inc., latest Dec 16, 2024 (5 filings since Sep 21, 2022)
- BlackRock Filed SC 13G/A on Rocket Pharmaceuticals Inc., latest Jan 29, 2024 (3 filings since Feb 4, 2022)
- State Street Corporation Filed SC 13G/A on Rocket Pharmaceuticals Inc., latest Jan 22, 2024 (2 filings since Jan 31, 2023)
- PERCEPTIVE ADVISORS LLC Filed SC 13G/A on Rocket Pharmaceuticals Inc., latest Feb 14, 2022
- PRICE T ROWE ASSOCIATES INC /MD/ Filed SC 13G/A on Rocket Pharmaceuticals Inc., latest Feb 14, 2022
- TANG CAPITAL PARTNERS LP Filed SC 13G/A on Rocket Pharmaceuticals Inc., latest Feb 14, 2022
- Rocket Pharmaceuticals Inc. Lexington, Massachusetts, United States
Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.
What it owns
What Rocket Pharmaceuticals Inc. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.
Property and equipment
| Item | Latest | A year before | Change |
|---|---|---|---|
| Property and equipment, before depreciation | $57.3M6 Dec 31, 2025 | $58.0M6 Dec 31, 2024 | −1.3% |
| Accumulated depreciation | $29.1M6 Dec 31, 2025 | $21.3M6 Dec 31, 2024 | +37.0% |
| Property and equipment, net | $28.2M6 Dec 31, 2025 | $36.8M6 Dec 31, 2024 | −23.4% |
| Finance-lease assets | $40.2M6 Dec 31, 2025 | $42.4M6 Dec 31, 2024 | −5.1% |
| Operating-lease assets (leased space) | $3.2M6 Dec 31, 2025 | $4.2M6 Dec 31, 2024 | −23.1% |
Investments
| Item | Latest | A year before | Change |
|---|---|---|---|
| Cash and cash equivalents | $77.6M6 Dec 31, 2025 | $163.6M6 Dec 31, 2024 | −52.6% |
| Marketable securities, current | $111.4M6 Dec 31, 2025 | $208.7M6 Dec 31, 2024 | −46.6% |
| Long-term investments | $010 Dec 31, 2024 | $34.3M10 Dec 31, 2023 | −100.0% |
Intangibles and goodwill
| Item | Latest | A year before | Change |
|---|---|---|---|
| Goodwill | $39.2M6 Dec 31, 2025 | $39.2M6 Dec 31, 2024 | 0% |
| Intangible assets, net (excluding goodwill) | $25.1M6 Dec 31, 2025 | $25.1M6 Dec 31, 2024 | 0% |
| Indefinite-lived intangibles (excluding goodwill) | $25.1M6 Dec 31, 2025 | $25.1M6 Dec 31, 2024 | 0% |
| Accumulated amortization | $06 Dec 31, 2025 | $06 Dec 31, 2024 |
Properties, in its own words
Corporate Headquarters, R&D and cGMP Manufacturing Facility and Office Space
Rocket’s corporate headquarters is located in Cranbury, New Jersey, in a leased facility consisting of 103,720 square feet of space including areas for offices, process development, research and development laboratories and 50,000 square feet dedicated to AAV cGMP manufacturing to support our pipeline. The NJ Lease Agreement has an initial term ending in 2034, with an option to renew for an additional two consecutive five-year renewal terms. In addition, we lease space in New York, New York at the Empire State Building, which consists of approximately 6,600 square feet of office space under a lease that expires in July 2027. Rocket leases an additional 4,666 square feet storage facility in Dayton, New Jersey.
The rest of Item 2
Facilities in Hopewell, New Jersey
As part of the acquisition of Renovacor, we added lease agreements for approximately 15,463 square feet of space in Hopewell, New Jersey that expires in March 2033. The Company intends to sublease these facilities and signed the first sublease agreement for one of the Hopewell, NJ facilities in January 2024.
Item 2 of the 10-K filed Feb 26, 2026.5
Leadership
Who has led Rocket Pharmaceuticals Inc., and when. Pick a name to see everywhere that person has worked.
Chief executive
Chief financial officer
Chief operating officer
20202025
- Chief executive officerGaurav Shah Feb 10, 2020 to now14
- Chief executive officerDavid P. Southwell Jan 9, 2017 to Jan 24, 201715
- PresidentGaurav Shah Feb 10, 2020 to Feb 16, 202114
- PresidentDavid P. Southwell Jan 9, 2017 to Jan 24, 201715
- Chief financial officerAaron Ondrey Apr 3, 2024 to now16
- Chief financial officerCarlos Garcia-Parada Jan 6, 2021 to Feb 16, 202217
- Chief operating officerKinnari Patel Jan 16, 2018 to Mar 26, 202118
Board members and other officers (37)
- Principal Accounting OfficerJoseph Manhede Jul 8, 2026 to now19
- OfficerSarbani Chaudhuri Apr 22, 2025 to now20
- OfficerSyed Ali-Aamir Rizvi Sep 22, 2025 to now21
- Chief Medical OfficerMark Andrew White Apr 12, 2023 to Nov 4, 202422
- OfficerKinnari Patel Feb 16, 2022 to now23
- OfficerBrian Batchelder Jan 16, 2018 to Jan 16, 201824
- OfficerGaurav Shah Jan 16, 2018 to Mar 5, 201925
- OfficerJohn Militello Jan 31, 2018 to now26
- Vice President - FinanceDale Ritter Feb 17, 2015 to Sep 18, 201727
- OfficerDavid P. Southwell Feb 17, 2015 to Mar 24, 201628
- OfficerRudolph Baumgartner Feb 17, 2015 to Jan 24, 201729
- OfficerWilliam K. McVicar Feb 19, 2015 to Mar 24, 201630
- Board memberPiratip Pratumsuwan Feb 5, 2025 to now31
- Board memberPeter Fong Oct 3, 2025 to now32
- Board memberMikael Dolsten Sep 11, 2024 to now33
- Board memberKeith Woods Dec 12, 2023 to Jun 20, 202434
- Board memberFady Ibraham Malik Mar 11, 2022 to now35
- Board memberElisabeth Bjork Apr 22, 2020 to now36
- Board memberGaurav Shah Jan 16, 2018 to now25
- Board memberGotham Makker Jan 16, 2018 to now37
- Board memberNaveen Yalamanchi Jan 16, 2018 to Jun 20, 202438
- Board memberPedro P. Granadillo Jan 16, 2018 to now39
- Board memberRoderick Wong Jan 16, 2018 to now38
- Board memberCarsten Boess Jan 12, 2016 to now40
- Board memberJ. Martin Carroll Apr 4, 2016 to Jun 21, 201741
- Board memberClarence Patrick Machado Aug 18, 2016 to Jun 21, 201742
- Board memberTimothy J. Barberich Sep 29, 2016 to Jun 21, 201743
- Board memberArgeris N. Karabelas Feb 17, 2015 to Jun 26, 201544
- Board memberDevang Kantesaria Feb 17, 2015 to Feb 18, 201545
- Board memberIsai Peimer Feb 17, 2015 to Jun 26, 201546
- Board memberIttai Harel Feb 17, 2015 to Jun 26, 201547
- Board memberMartin Vogelbaum Feb 17, 2015 to Jun 26, 201548
- Board memberPaul G. Howes Feb 18, 2015 to Jun 21, 201749
- Board memberDavid P. Southwell Jun 26, 2015 to now50
- Board memberRichard N. Spivey Jul 20, 2015 to Jun 21, 201751
- Board memberGary M. Phillips Oct 13, 2015 to Jun 21, 201752
- General counselMartin Wilson Dec 8, 2021 to now53
Former names
- INOTEK PHARMACEUTICALS CORPFeb 25, 2004 to Dec 22, 20174
Timeline
- Oct 6, 20268-K Entered a material agreement; New debt or obligation; Unregistered sale of shares54
- Sep 15, 20268-K Regulation FD disclosure55
- Aug 27, 20268-K Executive or director change56
- Aug 10, 20268-K Results of operations57
- Aug 3, 20268-K Regulation FD disclosure58
- Jun 30, 20268-K Executive or director change59
- Jun 12, 20268-K Completed an acquisition or sale; Regulation FD disclosure60
- May 21, 20268-K Shareholder vote61
- May 7, 20268-K Results of operations62
- Apr 28, 20268-K Entered a material agreement; Regulation FD disclosure63
- Mar 27, 20268-K Regulation FD disclosure64
- Mar 10, 20268-K Entered a material agreement; Ended a material agreement65
- Feb 10, 2020New chief executive Gaurav Shah becomes CEO14
- Jan 9, 2017New chief executive David P. Southwell becomes CEO15
Calendar
Coming up
- Nov 5, 2026Reports results for the quarter ending Sep/2026 A year earlier it reported ($0.45) a share, on Nov 6, 2025.66
When it reported results
- Aug 10, 2026Reported quarterly or annual results57
- May 7, 2026Reported quarterly or annual results62
- Feb 26, 2026Reported quarterly or annual results67
- Nov 6, 2025Reported quarterly or annual results68
- Aug 7, 2025Reported quarterly or annual results69
- May 8, 2025Reported quarterly or annual results70
- Feb 27, 2025Reported quarterly or annual results71
- Nov 7, 2024Reported quarterly or annual results72
Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar
Filings
518 filings to the SEC since October 2021: 5 annual reports, 15 quarterly reports, 71 major events, 235 insider forms, 31 large holders, 161 other. The latest 20:
- Oct 6, 20268-K EDGAR
- Sep 15, 2026144 EDGAR
- Sep 15, 20264 EDGAR
- Sep 15, 20268-K EDGAR
- Sep 14, 2026144 EDGAR
- Sep 11, 2026144 EDGAR
- Sep 11, 2026144 EDGAR
- Sep 2, 202625-NSE EDGAR
- Aug 27, 20268-K EDGAR
- Aug 20, 20264 EDGAR
- Aug 20, 20264 EDGAR
- Aug 18, 2026144 EDGAR
- Aug 18, 2026144 EDGAR
- Aug 18, 2026144 EDGAR
- Aug 17, 20264 EDGAR
- Aug 17, 20264 EDGAR
- Aug 13, 2026144 EDGAR
- Aug 13, 2026144 EDGAR
- Aug 13, 20264 EDGAR
- Aug 13, 20264 EDGAR
The 518 filings since October 2021 can be filtered by form type and year here when JavaScript is on.
Every filing from the last five years, summarized. The full record is on SEC EDGAR.
Insider trades
113 open-market trades by officers, directors and large owners since October 2021: 6 buys and 107 sales. Grants, option exercises and gifts are left out.
| Date | Who | Trade | Shares | Price | Value | Filing |
|---|---|---|---|---|---|---|
| Sep 11, 2026 | Wilson MartinGeneral Counsel | Sale | 75,364 | $3.40 | $256.2K | Form 4 |
| Aug 18, 2026 | Wilson MartinGeneral Counsel | Sale | 631 | $3.38 | $2.1K | Form 4 |
| Aug 18, 2026 | Shah GauravCEO | Sale | 2,293 | $3.38 | $7.8K | Form 4 |
| Aug 13, 2026 | Shah GauravCEO | Sale | 2,837 | $3.38 | $9.6K | Form 4 |
| Aug 13, 2026 | Wilson MartinGeneral Counsel | Sale | 3,493 | $3.38 | $11.8K | Form 4 |
| Aug 11, 2026 | Stevens Christopher JamesChief Operating Officer | Sale | 36,658 | $3.50 | $128.3K | Form 4 |
| Aug 11, 2026 | Chaudhuri SarbaniSee Remarks | Sale | 4,701 | $3.50 | $16.5K | Form 4 |
| May 21, 2026 | Shah GauravCEO | Sale | 55,684 | $3.09 | $172.1K | Form 4 |
| May 19, 2026 | Shah GauravCEO | Sale | 2,409 | $3.01 | $7.3K | Form 4 |
| May 19, 2026 | Wilson MartinGeneral Counsel | Sale | 662 | $3.01 | $2.0K | Form 4 |
| May 19, 2026 | Militello JohnSee Remarks | Sale | 384 | $3.01 | $1.2K | Form 4 |
| May 13, 2026 | Wilson MartinGeneral Counsel | Sale | 3,361 | $3.61 | $12.1K | Form 4 |
| May 13, 2026 | Shah GauravCEO | Sale | 2,728 | $3.61 | $9.8K | Form 4 |
| May 13, 2026 | Militello JohnSee Remarks | Sale | 855 | $3.61 | $3.1K | Form 4 |
| May 7, 2026 | Chaudhuri SarbaniSee Remarks | Sale | 17,650 | $3.84 | $67.8K | Form 4 |
| Feb 18, 2026 | Militello JohnSee Remarks | Sale | 1,157 | $3.34 | $3.9K | Form 4 |
| Feb 18, 2026 | Shah GauravCEO | Sale | 5,990 | $3.34 | $20.0K | Form 4 |
| Feb 18, 2026 | Wilson MartinGeneral Counsel | Sale | 1,376 | $3.34 | $4.6K | Form 4 |
| Feb 13, 2026 | Wilson MartinGeneral Counsel | Sale | 12,253 | $3.31 | $40.6K | Form 4 |
| Feb 13, 2026 | Militello JohnSee Remarks | Sale | 3,726 | $3.31 | $12.3K | Form 4 |
All 113 trades can be filtered by person here when JavaScript is on.
From Forms 4 filed with the SEC.
Major holders
Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.
- VANGUARD PORTFOLIO MANAGEMENT LLCSCHEDULE 13G, 1 filing Jul 31, 202673
- VANGUARD GROUP INCSCHEDULE 13G/A, 5 filings Feb 10, 2022 to Mar 27, 202674
- MAVERICK CAPITAL LTDSCHEDULE 13G/A, 3 filings Apr 14, 2025 to Feb 13, 202675
- Wellington Management CompanySCHEDULE 13G/A, 9 filings Feb 4, 2022 to Jun 5, 202576
- RTW INVESTMENTS, LPSC 13D/A, 5 filings Sep 21, 2022 to Dec 16, 202477
- BlackRockSC 13G/A, 3 filings Feb 4, 2022 to Jan 29, 202478
- State Street CorporationSC 13G/A, 2 filings Jan 31, 2023 to Jan 22, 202479
- PERCEPTIVE ADVISORS LLCSC 13G/A, 1 filing Feb 14, 202280
- PRICE T ROWE ASSOCIATES INC /MD/SC 13G/A, 1 filing Feb 14, 202281
- TANG CAPITAL PARTNERS LPSC 13G/A, 1 filing Feb 14, 202282
Executive pay
What the company paid its top executives, from the summary compensation table in its proxy statement. Total pay includes salary, bonus, stock and option awards and other pay, as the company valued them.
| Year | Executive | Age | Salary | Total pay |
|---|---|---|---|---|
| 2025 | Christopher StevensChief Operating Officer | 46 | $242.3K | $3.6M83 |
| 2025 | Gaurav D. Shah, M.D.Chief Executive Officer | 51 | $671.1K | $3.5M83 |
| 2025 | Martin WilsonGeneral Counsel and Chief Corporate Officer, Senior Vice President, Interim Principal Financial Officer | 49 | $488.3K | $3.4M83 |
| 2024 | Gaurav D. Shah, M.D.Chief Executive Officer | 51 | $635.9K | $6.8M83 |
| 2024 | Martin WilsonGeneral Counsel and Chief Corporate Officer, Senior Vice President, Interim Principal Financial Officer | 49 | $452.6K | $2.1M83 |
Held by these funds
The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 100. Change is in shares since the quarter before.
| Fund | Shares | Value | Share of the fund | Change |
|---|---|---|---|---|
| Rtw Investments, LP | 17,687,772 | $60.5M | 0.5% | No change |
| BlackRock, Inc. | 9,923,962 | $33.9M | 0.0% | +2,089,167 |
| Vanguard Portfolio Management LLC | 5,810,033 | $19.9M | 0.0% | +1,119,818 |
| Citigroup Inc | 4,865,551 | $16.6M | 0.0% | −242,157 |
| Marshall Wace, Llp | 4,029,262 | $13.8M | 0.0% | +990,547 |
| Millennium Management LLC | 4,000,344 | $13.7M | 0.0% | +882,220 |
| Newtyn Management, LLC | 4,000,000 | $13.7M | 1.7% | +834,100 |
| Maverick Capital Ltd | 3,923,963 | $13.4M | 0.1% | +356,591 |
| Vanguard Capital Management LLC | 3,784,387 | $12.9M | 0.0% | +8,651 |
| Aqr Capital Management LLC | 3,386,162 | $11.6M | 0.0% | +316,232 |
| Goldman Sachs Group Inc | 2,833,427 | $9.7M | 0.0% | +1,112,311 |
| Monaco Asset Management SAM | 2,480,468 | $8.5M | 3.2% | +422,165 |
| Geode Capital Management, LLC | 2,370,729 | $8.1M | 0.0% | +181,473 |
| Federated Hermes, Inc. | 2,304,207 | $7.9M | 0.0% | +1,280,460 |
| Jacobs Levy Equity Management, Inc | 1,974,896 | $6.8M | 0.0% | +1,558,363 |
| Jpmorgan Chase & Co | 1,988,413 | $6.7M | 0.0% | +1,192,189 |
| State Street Corp | 1,820,121 | $6.2M | 0.0% | −2,665,868 |
| Dimensional Fund Advisors LP | 1,125,500 | $3.8M | 0.0% | +837,236 |
| Morgan Stanley | 1,062,522 | $3.6M | 0.0% | −957,586 |
| Opaleye Management Inc. | 1,000,000 | $3.4M | 0.3% | +45,000 |
| D. E. Shaw & Co., Inc. | 950,552 | $3.3M | 0.0% | −1,219,073 |
| Jump Financial, LLC | 867,900 | $3.0M | 0.0% | +391,422 |
| Renaissance Technologies LLC | 792,974 | $2.7M | 0.0% | +155,800 |
| Charles Schwab Investment Management Inc | 749,073 | $2.6M | 0.0% | +24,681 |
| Northern Trust Corp | 735,090 | $2.5M | 0.0% | +94,250 |
13F reports cover disclosed long positions in U.S. stocks only.
SEC filer profile
How Rocket Pharmaceuticals Inc. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.
- Name on EDGARROCKET PHARMACEUTICALS, INC.2
- CIK0001281895
- Employer ID (EIN)04-34758135
- Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; not a shell company5
- Incorporated inDelaware5
- Fiscal year endsDecember 312
- Industry code (SIC)2834 Pharmaceutical Preparations2
- SEC reviewing officeOffice of Life Sciences, Division of Corporation Finance2
- Business address350 Fifth Avenue, Suite 7530, New York, NY 101182
- Phone646-440-91002
- Shares outstanding109,774,597 as of Jul 31, 202612
- Public float$212.5M as of Jun 30, 20255
- AuditorEISNERAMPER LLP, Iselin, New Jersey PCAOB ID 274; no auditor attestation of internal control over financial reporting5
- On EDGAR sinceFeb 25, 20042
- Filings966 in all: 4 (341), 8-K (148), 144 (108), 3 (45), SC 13G/A (37), 10-Q (35), SC 13G (24), 424B5 (21)2
All 62 form types
CORRESP (21), SC 13D/A (16), UPLOAD (15), DEFA14A (13), 10-K (12), DEF 14A (12), EFFECT (9), S-8 (8), SCHEDULE 13G/A (8), 3/A (7), 4/A (7), S-1/A (6), S-3 (5), 5 (4), ARS (4), FWP (4), SC 13D (4), 425 (3), 8-K/A (3), PRE 14A (3), REGDEX (3), 424B4 (2), 8-A12B (2), CT ORDER (2), S-1 (2), S-3/A (2), S-3ASR (2), SCHEDULE 13G (2), 144/A (1), 25-NSE (1), 305B2 (1), 424B2 (1), 424B3 (1), 8-A12B/A (1), CERT (1), CERTNAS (1), D (1), D/A (1), DEFM14A (1), DEL AM (1), DRS (1), DRS/A (1), POS AM (1), PREM14A (1), PRER14A (1), PX14A6G (1), RW (1), S-1MEF (1), S-3MEF (1), S-4 (1), S-4/A (1), SC TO-C (1), SC TO-I (1), SC TO-I/A (1)
- Latest filingsAnnual report (10-K) Feb 26, 2026
Quarterly report (10-Q) Aug 10, 2026
Proxy statement (DEF 14A) Apr 6, 2026
Latest 8-K (8-K) Oct 6, 2026
Securities registered for trading
| Class | Symbol | Exchange |
|---|---|---|
| Common Stock, $0.01 par value | RCKT | NASDAQ Global Market |
From the cover page of the 10-K filed Feb 26, 2026 (Section 12(b) of the Exchange Act).5
Risk factors and legal proceedings
The risks Rocket Pharmaceuticals Inc. names in Item 1A of its 10-K filed Feb 26, 2026: 61 risks under these headings, as written.5
- We are and may continue to be targets of securities-related class action and derivative lawsuits and defending against these claims could result in substantial costs and divert management time and resources and have a material adverse effect on our results of operations. These lawsuits, and any other lawsuits to which we are subject, may be costly to defend or pursue and are uncertain in their outcome
- Our strategic restructuring may not result in the savings we anticipate, could result in total costs and expenses that are greater than expected and could disrupt our operations
- We have a history of operating losses, and we may not achieve or sustain profitability. We anticipate that we will continue to incur losses for the foreseeable future. If we fail to obtain additional funding to conduct our planned research and development efforts, we could be forced to delay, reduce, or eliminate our product development programs or commercial development efforts.
- If, in the future, we are unable to establish sales and marketing capabilities or enter into agreements with third parties to sell and market any of our product candidates, we may not be successful in commercializing those product candidates if and when they are approved.
- The amount of and our ability to use net operating losses and research and development credits to offset future taxable income may be subject to certain limitations and uncertainty.
- Our limited operating history may make it difficult for us to evaluate the success of our business to date and to assess our future viability.
- We may need to raise additional funding, which may not be available on acceptable terms, or at all. Failure to obtain this necessary capital when needed may force us to delay, limit or terminate certain of our licensing activities, product development efforts or other operations.
- We have never generated any revenue from product sales and may never be profitable.
- Risks Related to Clinical Development and Product Regulatory Matters
- We may encounter substantial delays in commencement, enrollment or completion of our clinical trials or may fail to demonstrate safety and efficacy to the satisfaction of applicable regulatory authorities, which could prevent us from commercializing our current and future product candidates on a timely basis, if at all.
- If we have difficulty enrolling a sufficient number of patients to conduct our clinical trials as planned, we may need to delay, limit or terminate planned clinical trials, the occurrence of any of which would harm our business, financial condition, results of operations and prospects.
- Preliminary, interim or topline results in our ongoing clinical studies may not be indicative of results obtained when these studies are completed. Furthermore, success in early clinical studies may not be indicative of results obtained in later studies.
The other 50 risks
- Our product candidates may cause undesirable and unforeseen side effects or be perceived by the public as unsafe, which could delay or prevent their advancement into clinical trials or regulatory approval, limit the commercial potential or result in significant negative consequences.
- Our gene therapy product candidates are based on novel technology, which makes it difficult to predict the time and cost of product candidate development and subsequently obtaining regulatory approval. Currently, relatively few gene and cell therapy products have been approved in the U.S. and the EU.
- Even though we have obtained orphan designation for certain of our product candidates, we may not be able to realize the benefits of such designation, including potential marketing exclusivity of our product candidates, if approved.
- A Fast Track or regenerative medicine advanced therapy, or RMAT, designation by the FDA, or a PRIority MEdicines, or PRIME, designation by the EMA, even if granted for any of our current or future product candidates, may not lead to a faster development or regulatory review or approval process, and does not increase the likelihood that our current product candidate and any future product candidates will receive marketing approval.
- Accelerated approval by the FDA, and conditional approval by the EMA, may not lead to a faster development process or regulatory review and does not increase the likelihood that our product candidates will receive marketing approval. If we are not successful with this process, the development or commercialization of our product candidates for which we seek accelerated approval or conditional approval could be delayed, abandoned or become significantly more costly.
- We have received rare pediatric disease designation for RP-A501 for DD, RP-L102 for FA, and RP-L201 for LAD-I. However, a marketing application for these product candidates, if approved, may not meet the eligibility criteria for a rare pediatric disease priority review voucher.
- Even if we successfully complete the necessary preclinical studies and clinical trials, we cannot predict when, or if, we will obtain regulatory approval to commercialize a product candidate and the approval may be for a narrower indication than we seek.
- We may never obtain FDA or EMA approval for any of our product candidates in the U.S. or the EU, and even if we do, we may never obtain approval for or commercialize any of our product candidates in any other jurisdiction, which would limit our ability to realize our full market potential.
- Even if we obtain regulatory approval for a product candidate, we will remain subject to ongoing regulatory obligations and continued regulatory scrutiny.
- If approved, our product candidates may face competition from biosimilars approved through an abbreviated regulatory pathway.
- Healthcare legislative reform measures may have a material adverse effect on our business and results of operations.
- If we are successful in commercializing any product, our relationships with customers and third-party payors will be subject to applicable anti-kickback, fraud and abuse and other healthcare laws and regulations, which could expose us to criminal sanctions, civil penalties, exclusion from government healthcare programs, contractual damages, reputational harm and diminished profits and future earnings.
- We are subject to stringent laws, rules, regulations, policies, industry standards and contractual obligations regarding data privacy and security and may be subject to additional related laws and regulations in jurisdictions into which we expand. Many of these laws and regulations are subject to change and reinterpretation and could result in claims, changes to our business practices, monetary penalties, increased cost of operations or other harm to our business.
- We are subject to environmental, health and safety laws and regulations, and we may become exposed to liability and substantial expenses in connection with environmental compliance or remediation activities.
- Products intended for use in gene therapies are novel, complex and difficult to manufacture. We could experience production problems that result in delays in our development or commercialization programs, limit the supply of our products or otherwise harm our business.
- Our manufacturing facilities are subject to significant government regulations and approvals, which are often costly and could result in adverse consequences to our business if we fail to comply with the regulations or maintain the approvals.
- Product liability lawsuits against us could cause us to incur substantial liabilities and could limit the potential commercialization of any products that we may develop.
- Our ability to successfully develop and commercialize our product candidates will substantially depend upon the availability of reimbursement for the costs of the resulting drugs and related treatments.
- We face intense competition and rapid technological change and the possibility that our competitors may develop therapies that are more advanced or effective than ours, which may adversely affect our financial condition and our ability to successfully commercialize our product candidates.
- The commercial success of any of our product candidates will depend upon the degree of market acceptance of gene therapy by physicians, patients, third-party payors and others in the medical community.
- Ethical, legal, and social issues may reduce demand for any gene therapy products for which we obtain marketing approval.
- We may not be successful in our efforts to expand our pipeline of additional product candidates for development.
- The success of our R&D activities, clinical testing and commercialization, upon which we primarily focus, is uncertain.
- We rely on third parties to conduct certain aspects of our preclinical studies and clinical trials and perform other tasks for us. If these third parties do not successfully carry out their contractual duties, meet expected deadlines, or comply with regulatory requirements, we may not be able to obtain regulatory approval for or commercialize our product candidates and our business, financial condition and results of operations could be substantially harmed.
- We may not be successful in finding strategic collaborators for continuing development of certain of our product candidates or successfully commercializing our product candidates.
- Disruptions at the FDA and other government agencies caused by funding shortages, Executive Orders, or global health concerns could hinder their ability to hire, retain or deploy key leadership and other personnel, or otherwise prevent new or modified products from being developed, approved, or commercialized in a timely manner or at all, which could negatively impact our business.
- Our rights to intellectual property for the development and commercialization of our product candidates are subject to the terms and conditions of licenses granted to us by others. If we breach our license agreements, it could have a material adverse effect on our commercialization efforts for our product candidates.
- If we are unable to obtain and maintain patent protection for products and related technology, or if the scope of the patent protection obtained is not sufficiently broad, our competitors could develop and commercialize products and technology similar or identical to ours, and our ability to successfully commercialize our products may be harmed.
- If we are unable to protect the confidentiality of our trade secrets, our business and competitive position may be harmed.
- We may not be successful in obtaining or maintaining necessary rights to gene therapy product components and processes for our development pipeline through acquisitions and in-licenses.
- Changes in U.S. patent law or the patent law of other countries or jurisdictions could diminish the value of patents in general, thereby impairing our ability to protect our products.
- We may not be able to protect our intellectual property rights throughout the world.
- Patent terms may be inadequate to protect our competitive position on our product candidates for an adequate amount of time.
- We may be subject to claims challenging the inventorship or ownership of our patents and other intellectual property.
- Our business could suffer if it loses the services of, or fails to attract, key personnel.
- Our employees, principal investigators, consultants, and commercial partners may engage in misconduct or other improper activities, including non-compliance with regulatory standards and requirements and insider trading.
- We may be subject to claims that our employees, consultants, or independent contractors have wrongfully used or disclosed confidential information of third parties or that our employees have wrongfully used or disclosed alleged trade secrets of their former employers.
- We may need to expand our organization and may experience difficulties in managing this growth, which could disrupt our operations.
- We may fail to realize the anticipated benefits of potential acquisitions or business combinations.
- Future formations of strategic alliances or joint ventures with third parties could disrupt our business and harm our financial condition and operating results.
- Given our commercial relationships outside of the U.S., in particular in the EU, a variety of risks associated with international operations could harm our business.
- If conflicts arise between us and our collaborators or strategic partners, these parties may act in a manner adverse to us and could limit our ability to implement our strategies.
- Risks Related to Ownership of our Common Stock
- Future sales of our common stock in the public market could cause the market price of our common stock to drop significantly, even if our business is performing well.
- If securities analysts publish negative evaluations of our stock, the price of our stock could decline.
- The price of our common stock may be volatile and fluctuate substantially, which could result in substantial losses for our stockholders.
- RTW, our largest stockholder, may have the ability to significantly influence all matters submitted to stockholders for approval.
- Because we do not anticipate paying any cash dividends on our capital stock in the foreseeable future, capital appreciation, if any, will be stockholders’ sole source of gain.
- General Risk Factors
- If we fail to maintain proper and effective internal control over financial reporting, our ability to produce accurate and timely financial statements could be impaired, which could harm our operating results, investors’ views of us and, as a result, the value of our common stock.
- Provisions in our corporate charter documents and under Delaware law could make an acquisition of us, which may be beneficial to our stockholders, more difficult and may prevent attempts by our stockholders to replace or remove our current management.
- Our internal computer systems, or those of our third-party collaborators or other contractors, may fail or suffer security breaches, which could result in a material disruption of our development programs.
Legal proceedings
In June 2025, the Company entered into a settlement agreement with Lexeo to resolve all claims in ongoing litigation between the parties in the United States District Court for the Southern District of New York. The litigation involved allegations by the Company of trade secret misappropriation and tortious interference, and counterclaims by Lexeo including correction of inventorship, breach of contract, and trade secret misappropriation. As part of a comprehensive resolution, Rocket also entered into separate settlement agreements on the same day with certain individuals formerly affiliated with the Company, who were also named in the litigation.
Under the terms of the settlement agreement between the Company and Lexeo, the litigation has been resolved fully, and without admission of liability by any party. For the year ended December 31, 2025, the settlement was not material.
The opening of Item 3, Legal Proceedings.5
Links
- Websiterocketpharma.com1
- X (Twitter)x.com/RocketPharma1
- LinkedInwww.linkedin.com/company/rocket-pharmaceuticals-ltd1
- WikidataQ107400411
- SEC EDGARCIK 1281895
Sources
The numbers on this page point here. Each one links to the record it came from.
- 1
- 2
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- 14SEC EDGARGaurav Shah, Chief executive officer
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- 20SEC EDGARSarbani Chaudhuri, Officer
- 21SEC EDGARSyed Ali-Aamir Rizvi, Officer
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- 23SEC EDGARKinnari Patel, Officer
- 24SEC EDGARBrian Batchelder, Officer
- 25SEC EDGARGaurav Shah, Officer
- 26SEC EDGARJohn Militello, Officer
- 27
- 28SEC EDGARDavid P. Southwell, Officer
- 29SEC EDGARRudolph Baumgartner, Officer
- 30SEC EDGARWilliam K. McVicar, Officer
- 31SEC EDGARPiratip Pratumsuwan, Board member
- 32SEC EDGARPeter Fong, Board member
- 33SEC EDGARMikael Dolsten, Board member
- 34SEC EDGARKeith Woods, Board member
- 35SEC EDGARFady Ibraham Malik, Board member
- 36SEC EDGARElisabeth Bjork, Board member
- 37SEC EDGARGotham Makker, Board member
- 38SEC EDGARNaveen Yalamanchi, Board member
- 39SEC EDGARPedro P. Granadillo, Board member
- 40SEC EDGARCarsten Boess, Board member
- 41SEC EDGARJ. Martin Carroll, Board member
- 42
- 43SEC EDGARTimothy J. Barberich, Board member
- 44SEC EDGARArgeris N. Karabelas, Board member
- 45SEC EDGARDevang Kantesaria, Board member
- 46SEC EDGARIsai Peimer, Board member
- 47SEC EDGARIttai Harel, Board member
- 48SEC EDGARMartin Vogelbaum, Board member
- 49SEC EDGARPaul G. Howes, Board member
- 50SEC EDGARDavid P. Southwell, Board member
- 51SEC EDGARRichard N. Spivey, Board member
- 52SEC EDGARGary M. Phillips, Board member
- 53SEC EDGARMartin Wilson, General counsel
- 54
- 55SEC EDGARRegulation FD disclosure
- 56SEC EDGARExecutive or director change
- 57SEC EDGARResults of operations
- 58SEC EDGARRegulation FD disclosure
- 59SEC EDGARExecutive or director change
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- 61SEC EDGARShareholder vote
- 62SEC EDGARResults of operations
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- 64SEC EDGARRegulation FD disclosure
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- 66NasdaqNasdaq calendar
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