# EDGAR Filing Document

**Accession Number:** 0001281895
**File Stem:** 0001140361-26-023153
**Filing Date:** 2026-5
**Character Count:** 13516
**Document Hash:** 4b61d176d386dd3d724289ee464f16f0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-26-023153.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001140361-26-023153

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260526

**FILED AS OF DATE**: 20260528

**DATE AS OF CHANGE**: 20260528

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Militello John
- **CENTRAL INDEX KEY:** 0001662170

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36829
- **FILM NUMBER:** 261036822

**MAIL ADDRESS:**
- **STREET 1:** C/O IMMUNE PHARMACEUTICALS INC.
- **STREET 2:** 430 EAST 29TH STREET, SUITE 940
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10016
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROCKET PHARMACEUTICALS, INC.
- **CENTRAL INDEX KEY:** 0001281895
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 350 FIFTH AVENUE
- **STREET 2:** SUITE 7530
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10118
- **BUSINESS PHONE:** 646-440-9100

**MAIL ADDRESS:**
- **STREET 1:** 350 FIFTH AVENUE
- **STREET 2:** SUITE 7530
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10118

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INOTEK PHARMACEUTICALS CORP
- **DATE OF NAME CHANGE:** 20040226

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Militello John<br><sub>(Last) (First) (Middle)</sub><br>C/O ROCKET PHARMACEUTICALS, INC.<br>9 CEDARBROOK DRIVE<br><sub>(Street)</sub><br>CRANBURY, NJ 08512<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2026-05-26 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ROCKET PHARMACEUTICALS, INC. [ RCKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $18.75 | 2026-05-26 |  | D |  |  | 10000 | <sup>(2)</sup> | 2028-03-29 | Common Stock | 10000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $20.61 | 2026-05-26 |  | D |  |  | 10000 | <sup>(3)</sup> | 2028-06-25 | Common Stock | 10000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $14.56 | 2026-05-26 |  | D |  |  | 20000 | <sup>(4)</sup> | 2029-01-28 | Common Stock | 20000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $10.85 | 2026-05-26 |  | D |  |  | 10000 | <sup>(5)</sup> | 2029-09-02 | Common Stock | 10000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $22.72 | 2026-05-26 |  | D |  |  | 20000 | <sup>(6)</sup> | 2030-02-06 | Common Stock | 20000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $23.89 | 2026-05-26 |  | D |  |  | 2000 | <sup>(7)</sup> | 2030-02-10 | Common Stock | 2000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $24.82 | 2026-05-26 |  | D |  |  | 18000 | <sup>(8)</sup> | 2030-08-03 | Common Stock | 18000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $62.32 | 2026-05-26 |  | D |  |  | 18000 | <sup>(9)</sup> | 2031-02-04 | Common Stock | 18000 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $19.05 | 2026-05-26 |  | D |  |  | 27003 | <sup>(10)</sup> | 2032-02-14 | Common Stock | 27003 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $13.12 | 2026-05-26 |  | D |  |  | 28910 | <sup>(11)</sup> | 2032-04-18 | Common Stock | 28910 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $20.04 | 2026-05-26 |  | D |  |  | 49798 | <sup>(12)</sup> | 2033-02-14 | Common Stock | 49798 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $30.01 | 2026-05-26 |  | D |  |  | 24545 | <sup>(13)</sup> | 2034-02-16 | Common Stock | 24545 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $3 | 2026-05-26 |  | A |  | 51509 |  | <sup>(14)</sup> | 2031-05-26 | Common Stock | 51509 | <sup>(1)</sup> | 51509 | D |  |
| Stock Option (Right to Buy) | $3 | 2026-05-26 |  | A |  | 15002 |  | <sup>(14)</sup> | 2032-02-14 | Common Stock | 15002 | <sup>(1)</sup> | 15002 | D |  |
| Stock Option (Right to Buy) | $3 | 2026-05-26 |  | A |  | 16061 |  | <sup>(14)</sup> | 2032-04-18 | Common Stock | 16061 | <sup>(1)</sup> | 16061 | D |  |
| Stock Option (Right to Buy) | $3 | 2026-05-26 |  | A |  | 24899 |  | <sup>(14)</sup> | 2033-02-14 | Common Stock | 24899 | <sup>(1)</sup> | 24899 | D |  |
| Stock Option (Right to Buy) | $3 | 2026-05-26 |  | A |  | 9091 |  | <sup>(15)</sup> | 2034-02-16 | Common Stock | 9091 | <sup>(1)</sup> | 9091 | D |  |

---

### Footnotes:

(1) 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.

(2) 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.

(3) 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.

(4) 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.

(5) 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.

(6) 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.

(7) 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.

(8) 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.

(9) 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.

(10) 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.

(11) 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.

(12) 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.

(13) 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.

(14) 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.

(15) 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.

**Remarks:**
Vice President of Finance, Treasurer, Principal Accounting Officer

**Signature:** /s/ Martin Wilson, as attorney-in-fact for John Militello  
**Date:** 2026-05-28

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**