RCKTNasdaqPharmaceutical PreparationsFiscal year ends December 31
ROCKET PHARMACEUTICALS, INC.
Financials through Q2 FY2026, quarter ended Jun 30, 2026Last filing: 10-Q on Aug 10, 2026
$2.24+0.06 (+2.75%)
Close on Oct 19, 2026
- Market cap
- $256.51M
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
90.9%
100M of 110M shares
Institutional holders
180
18 new, 33 sold out
Net institutional buying
3M
In Q2 2026
Insider trades, 12 months
1 buys · 25 sales
Net sold $829.61K
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Lee S. Ainslie III | 8,363,813 | 7.80% | 13G (passive) amendment | Jun 30, 2025 |
| Wellington Management Group LLP | 7,151,721 | 6.70% | 13G (passive) amendment | Apr 30, 2025 |
| BlackRock, Inc. | 5,930,178 | 6.60% | 13G (passive) amendment | Dec 31, 2023 |
| Vanguard Portfolio Management | 5,847,541 | 5.35% | 13G (passive) | Jun 30, 2026 |
| Roderick Wong, M.D | 18,401,313 | 17.60% | 13D (active) amendment | Dec 12, 2024 |
| Wellington Management Company LLP | 13,995,177 | 12.90% | 13G (passive) amendment | Dec 31, 2024 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of RCKT | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Rtw Investments, LP | 17,687,772 | 16.11% | $60.49M | – | 0.52% |
| BlackRock, Inc. | 9,923,962 | 9.04% | $33.94M | +2,089,167 | 0.00% |
| Vanguard Portfolio Management LLC | 5,810,033 | 5.29% | $19.87M | +1,119,818 | 0.00% |
| Citigroup Inc | 4,865,551 | 4.43% | $16.64M | −242,157 | 0.01% |
| Marshall Wace, Llp | 4,029,262 | 3.67% | $13.78M | +990,547 | 0.01% |
| Millennium Management LLC | 4,000,344 | 3.64% | $13.68M | +882,220 | 0.00% |
| Newtyn Management, LLC | 4,000,000 | 3.64% | $13.68M | +834,100 | 1.71% |
| Maverick Capital Ltd | 3,923,963 | 3.57% | $13.42M | +356,591 | 0.12% |
| Vanguard Capital Management LLC | 3,784,387 | 3.45% | $12.94M | +8,651 | 0.00% |
| Aqr Capital Management LLC | 3,386,162 | 3.08% | $11.58M | +316,232 | 0.00% |
| Goldman Sachs Group Inc | 2,833,427 | 2.58% | $9.69M | +1,112,311 | 0.00% |
| Monaco Asset Management SAM | 2,480,468 | 2.26% | $8.48M | +422,165 | 0.67% |
| Geode Capital Management, LLC | 2,370,729 | 2.16% | $8.11M | +181,473 | 0.00% |
| Federated Hermes, Inc. | 2,304,207 | 2.10% | $7.88M | +1,280,460 | 0.01% |
| JPMorgan Chase & Co | 1,988,413 | 1.81% | $6.70M | +1,192,189 | 0.00% |
| Jacobs Levy Equity Management, Inc | 1,974,896 | 1.80% | $6.75M | +1,558,363 | 0.02% |
| State Street Corp | 1,820,121 | 1.66% | $6.22M | −2,665,868 | 0.00% |
| Dimensional Fund Advisors LP | 1,125,500 | 1.03% | $3.85M | +837,236 | 0.00% |
| Morgan Stanley | 1,062,522 | 0.97% | $3.63M | −957,586 | 0.00% |
| Opaleye Management Inc. | 1,000,000 | 0.91% | $3.42M | +45,000 | 0.31% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 180 | 100M | 90.9% | 18 / 72 | 65 / 33 | 18M | 15M |
| Q1 2026 | 199 | 97M | 88.5% | 48 / 80 | 53 / 32 | 31M | 17M |
| Q4 2025 | 186 | 91M | 83.2% | 31 / 61 | 71 / 18 | 14M | 21M |
| Q3 2025 | 173 | 99M | 89.9% | 28 / 60 | 63 / 50 | 16M | 13M |
| Q2 2025 | 196 | 95M | 87.0% | 41 / 80 | 48 / 80 | 27M | 39M |
| Q1 2025 | 236 | 108M | 98.2% | 49 / 112 | 41 / 35 | 12M | 14M |
| Q4 2024 | 225 | 110M | 99.9% | 59 / 97 | 44 / 25 | 26M | 10M |
| Q3 2024 | 192 | 93M | 85.0% | 34 / 66 | 53 / 19 | 14M | 7M |
| Q2 2024 | 178 | 92M | 84.0% | 21 / 75 | 50 / 27 | 6M | 9M |
| Q1 2024 | 185 | 94M | 86.0% | 19 / 69 | 62 / 27 | 9M | 4M |
| Q4 2023 | 194 | 90M | 82.3% | 37 / 69 | 64 / 17 | 8M | 7M |
| Q3 2023 | 175 | 89M | 81.4% | 29 / 79 | 45 / 17 | 17M | 5M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of RCKT | Value | % of fund | As of |
|---|---|---|---|---|---|
| Vanguard Total Stock Market Index Fund | 2,700,288 | 2.46% | $9.23M | 0.00% | Jun 30, 2026 |
| iShares Russell 2000 ETF | 2,372,104 | 2.16% | $8.11M | 0.01% | Jun 30, 2026 |
| Vanguard Strategic Equity Fund | 1,696,761 | 1.55% | $5.80M | 0.05% | Jun 30, 2026 |
| Federated Hermes MDT Small Cap Core Fund | 1,037,971 | 0.95% | $3.23M | 0.14% | Jul 31, 2026 |
| Vanguard Strategic Small-Cap Equity Fund | 1,005,325 | 0.92% | $3.44M | 0.11% | Jun 30, 2026 |
| Vanguard Extended Market Index Fund | 1,000,868 | 0.91% | $3.42M | 0.00% | Jun 30, 2026 |
| Fidelity Small Cap Index Fund | 984,936 | 0.90% | $3.06M | 0.01% | Jul 31, 2026 |
| iShares Russell 2000 Value ETF | 844,909 | 0.77% | $2.89M | 0.02% | Jun 30, 2026 |
| iShares Biotechnology ETF | 730,402 | 0.67% | $2.50M | 0.03% | Jun 30, 2026 |
| Bridge Builder Small/Mid Cap Growth Fund | 728,784 | 0.66% | $2.49M | 0.02% | Jun 30, 2026 |
| Vanguard Explorer Fund | 618,517 | 0.56% | $1.92M | 0.01% | Jul 31, 2026 |
| Fidelity Extended Market Index Fund | 461,614 | 0.42% | $1.42M | 0.00% | May 31, 2026 |
| Fidelity Enhanced Small Cap Core ETF | 459,902 | 0.42% | $1.57M | 0.03% | Jun 30, 2026 |
| Vanguard Russell 2000 Index Fund | 435,483 | 0.40% | $1.34M | 0.01% | May 31, 2026 |
| Federated Hermes MDT Small Cap Growth Fund | 432,567 | 0.39% | $1.35M | 0.16% | Jul 31, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Martin Wilson | General Counsel | 598,489 | 0.55% | Sep 15, 2026 |
| Gaurav Shah | CEO | 1,462,832 | 1.33% | Aug 20, 2026 |
| Christopher James Stevens | Chief Operating Officer | 505,784 | 0.46% | Aug 13, 2026 |
| Sarbani Chaudhuri | See Remarks | 262,809 | 0.24% | Aug 13, 2026 |
| Joseph Manhede | Principal Accounting Officer | 52,576 | 0.05% | Jul 8, 2026 |
| John Militello | See Remarks | 89,780 | 0.08% | May 28, 2026 |
| Syed Ali-aamir Rizvi | Chief Medical Officer | 407,874 | 0.37% | Feb 13, 2026 |
| Jonathan David Schwartz | See Remarks | 299,064 | 0.27% | Nov 20, 2025 |
| Aaron Ondrey | Chief Financial Officer | 128,173 | 0.12% | Jul 8, 2025 |
| Kinnari Patel | See Remarks | 573,628 | 0.52% | May 22, 2025 |
| Mark Andrew White | See Remarks | 69,140 | 0.06% | Nov 4, 2024 |
| David P. Southwell | Director | 317,646 | 0.29% | Aug 5, 2026 |
| Roderick Wong | Director, 10% owner | 18,263,956 | 16.64% | Jul 6, 2026 |
| Fady Ibraham Malik | Director | 52,862 | 0.05% | Jul 6, 2026 |
| Mikael Dolsten | Director | 67,082 | 0.06% | Jul 6, 2026 |
| Peter Fong | Director | 76,195 | 0.07% | Jul 6, 2026 |
| Carsten Boess | Director | 52,862 | 0.05% | Jul 6, 2026 |
| Elisabeth Bjork | Director | 50,000 | 0.05% | Jan 6, 2026 |
| Rtw Investments, Lp | Director, 10% owner | 18,295,124 | 16.67% | Sep 23, 2025 |
| Gotham Makker | Director | 1,017,412 | 0.93% | Jul 18, 2025 |
| Pedro P. Granadillo | Director | 54,734 | 0.05% | Jul 18, 2025 |
| Piratip Pratumsuwan | Director | 30,000 | 0.03% | Jul 18, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Martin Wilson General Counsel | Sep 11, 2026 | Sale | −75,364 | $3.40 | $256.24K | 598,489 |
| Gaurav Shah CEO | Aug 18, 2026 | Sale | −2,293 | $3.38 | $7.75K | 1,056,594 |
| Martin Wilson General Counsel | Aug 18, 2026 | Sale | −631 | $3.38 | $2.13K | 673,853 |
| Martin Wilson General Counsel | Aug 13, 2026 | Sale | −3,493 | $3.38 | $11.81K | 674,484 |
| Gaurav Shah CEO | Aug 13, 2026 | Sale | −2,837 | $3.38 | $9.59K | 1,058,887 |
| Sarbani Chaudhuri See Remarks | Aug 11, 2026 | Sale | −4,701 | $3.50 | $16.45K | 262,809 |
| Christopher James Stevens Chief Operating Officer | Aug 11, 2026 | Sale | −36,658 | $3.50 | $128.30K | 505,784 |
| Christopher James Stevens Chief Operating Officer | Aug 3, 2026 | Award | +73,313 | – | – | 542,442 |
| David P. Southwell Director | Aug 3, 2026 | Other | +150,000 | – | – | 204,522 |
| Mikael Dolsten Director | Jun 18, 2026 | Award | +22,862 | – | – | 67,082 |
| Carsten Boess Director | Jun 18, 2026 | Award | +22,862 | – | – | 52,862 |
| David P. Southwell Director | Jun 18, 2026 | Award | +22,862 | – | – | 54,522 |
| Fady Ibraham Malik Director | Jun 18, 2026 | Award | +22,862 | – | – | 52,862 |
| Peter Fong Director | Jun 18, 2026 | Award | +22,862 | – | – | 76,195 |
| Roderick Wong Director, 10% owner | Jun 18, 2026 | Award | +27,832 | – | – | 75,499 |
| Gaurav Shah CEO | May 21, 2026 | Option exercise | +76,490 | $1.69 | $129.27K | 1,117,408 |
| Gaurav Shah CEO | May 21, 2026 | Sale | −55,684 | $3.09 | $172.06K | 1,061,724 |
| Gaurav Shah CEO | May 19, 2026 | Sale | −2,409 | $3.01 | $7.25K | 1,040,918 |
| Martin Wilson General Counsel | May 19, 2026 | Sale | −662 | $3.01 | $1.99K | 677,977 |
| John Militello See Remarks | May 19, 2026 | Sale | −384 | $3.01 | $1.16K | 89,780 |
| John Militello See Remarks | May 13, 2026 | Sale | −855 | $3.61 | $3.09K | 90,164 |
| Gaurav Shah CEO | May 13, 2026 | Sale | −2,728 | $3.61 | $9.85K | 1,043,327 |
| Martin Wilson General Counsel | May 13, 2026 | Sale | −3,361 | $3.61 | $12.13K | 678,639 |
| Sarbani Chaudhuri See Remarks | May 7, 2026 | Sale | −17,650 | $3.84 | $67.78K | 267,510 |
| Martin Wilson General Counsel | Feb 18, 2026 | Sale | −1,376 | $3.34 | $4.60K | 682,000 |
| John Militello See Remarks | Feb 18, 2026 | Sale | −1,157 | $3.34 | $3.86K | 91,019 |
| Gaurav Shah CEO | Feb 18, 2026 | Sale | −5,990 | $3.34 | $20.01K | 1,046,055 |
| Martin Wilson General Counsel | Feb 13, 2026 | Sale | −12,253 | $3.31 | $40.56K | 683,376 |
| John Militello See Remarks | Feb 13, 2026 | Sale | −3,726 | $3.31 | $12.33K | 92,176 |
| Gaurav Shah CEO | Feb 13, 2026 | Sale | −12,279 | $3.31 | $40.64K | 1,052,045 |
| Gaurav Shah CEO | Feb 11, 2026 | Award | +286,028 | – | – | 1,064,324 |
| Martin Wilson General Counsel | Feb 11, 2026 | Award | +311,813 | – | – | 695,629 |
| Syed Ali-aamir Rizvi Chief Medical Officer | Feb 11, 2026 | Award | +61,963 | – | – | 407,874 |
| Christopher James Stevens Chief Operating Officer | Feb 11, 2026 | Award | +61,963 | – | – | 469,129 |
| John Militello See Remarks | Feb 11, 2026 | Award | +29,982 | – | – | 95,902 |
| Sarbani Chaudhuri See Remarks | Feb 11, 2026 | Award | +125,924 | – | – | 285,160 |
| Elisabeth Bjork Director | Jan 2, 2026 | Buy | +10,000 | $3.44 | $34.40K | 50,000 |
| Jonathan David Schwartz See Remarks | Nov 18, 2025 | Sale | −2,545 | $2.98 | $7.58K | 299,064 |
| John Militello See Remarks | Nov 18, 2025 | Sale | −1,086 | $2.98 | $3.24K | 65,920 |
| Gaurav Shah CEO, Director | Nov 18, 2025 | Sale | −6,276 | $2.98 | $18.70K | 778,296 |
| Martin Wilson General Counsel | Nov 18, 2025 | Sale | −1,646 | $2.98 | $4.91K | 383,816 |
| Martin Wilson General Counsel | Nov 3, 2025 | Award | +100,000 | – | – | 385,462 |
| John Militello See Remarks | Oct 14, 2025 | Sale | −5,514 | $3.97 | $21.89K | 70,569 |
| John Militello See Remarks | Oct 14, 2025 | Sale | −3,005 | $3.97 | $11.93K | 67,564 |
| John Militello See Remarks | Oct 14, 2025 | Sale | −558 | $3.98 | $2.22K | 67,006 |
| John Militello See Remarks | Oct 14, 2025 | Sale | −19,841 | $3.96 | $78.57K | 76,083 |
| Syed Ali-aamir Rizvi Chief Medical Officer | Oct 6, 2025 | Award | +283,018 | – | – | 283,018 |
| Syed Ali-aamir Rizvi Chief Medical Officer | Oct 6, 2025 | Award | +62,893 | – | – | 345,911 |
| Peter Fong Director | Sep 24, 2025 | Award | +30,000 | – | – | 53,333 |
| Peter Fong Director | Sep 24, 2025 | Award | +23,333 | – | – | 23,333 |
| Rtw Investments, Lp Director, 10% owner | Sep 19, 2025 | Option exercise | +59,000 | $17.81 | $1.05M | 18,247,457 |
| Rtw Investments, Lp Director, 10% owner | Sep 19, 2025 | Other | −41,000 | $3.11 | $127.51K | 18,188,457 |
| Rtw Investments, Lp Director, 10% owner | Sep 19, 2025 | Option exercise | +41,000 | $19.09 | $782.69K | 18,229,457 |
| Rtw Investments, Lp Director, 10% owner | Sep 19, 2025 | Other | −1,000,000 | $3.11 | $3.11M | 18,188,457 |
| Rtw Investments, Lp Director, 10% owner | Sep 19, 2025 | Option exercise | +1,000,000 | $40.03 | $40.03M | 19,188,457 |
| Rtw Investments, Lp Director, 10% owner | Sep 19, 2025 | Other | −59,000 | $3.11 | $183.49K | 18,188,457 |
| John Militello See Remarks | Sep 8, 2025 | Award | +40,000 | – | – | 95,924 |
| Jonathan David Schwartz See Remarks | Sep 8, 2025 | Award | +80,000 | – | – | 301,609 |
| Martin Wilson General Counsel | Sep 8, 2025 | Award | +150,000 | – | – | 285,462 |
| Elisabeth Bjork Director | Aug 27, 2025 | Buy | +10,000 | $3.41 | $34.10K | 40,000 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Planned insider sales
Notices of proposed sale filed on Form 144 before shares are sold
| Seller | Filed | Shares | Market value | Planned sale | Acquired through |
|---|---|---|---|---|---|
| John Militello Former Officer | Sep 15, 2026 | 6,897 | $22.73K | Sep 15, 2026 | Restricted Stock Vesting |
| John Militello Former Officer | Sep 14, 2026 | 6,857 | $22.73K | Sep 14, 2026 | Restricted Stock Vesting |
| Martin Wilson Officer | Sep 11, 2026 | 75,364 | $256.49K | Sep 11, 2026 | Restricted Stock Vesting |
| John Militello Former Officer | Sep 11, 2026 | 8,923 | $30.37K | Sep 11, 2026 | Restricted Stock Vesting |
| John Militello Former Officer | Aug 18, 2026 | 1,252 | $4.23K | Aug 18, 2026 | Restricted Stock Vesting |
| Martin Wilson Officer | Aug 18, 2026 | 631 | $2.13K | Aug 18, 2026 | Restricted Stock Vesting |
| Gaurav Shah Officer, Director | Aug 18, 2026 | 2,293 | $7.75K | Aug 18, 2026 | Restricted Stock Vesting |
| Martin Wilson Officer | Aug 13, 2026 | 3,493 | $11.81K | Aug 13, 2026 | Restricted Stock Vesting |
| Gaurav Shah Officer, Director | Aug 13, 2026 | 2,837 | $9.59K | Aug 13, 2026 | Restricted Stock Vesting |
| Sarbani Chaudhuri Officer | Aug 11, 2026 | 4,701 | $16.45K | Aug 11, 2026 | Restricted Stock Vesting |
| Christopher James Stevens Officer | Aug 11, 2026 | 36,658 | $128.28K | Aug 11, 2026 | Restricted Stock Vesting |
| Fady Ibraham Malik Director | Jul 7, 2026 | 10,670 | $41.39K | Jul 7, 2026 | Restricted Stock Vesting |
| Gaurav Shah Officer, Director | May 21, 2026 | 55,684 | $171.82K | May 21, 2026 | Option Granted - 04/12/2017 |
| Martin Wilson Officer | May 19, 2026 | 662 | $2.00K | May 19, 2026 | Restricted Stock Vesting |
| John Militello Officer | May 19, 2026 | 384 | $1.16K | May 19, 2026 | Restricted Stock Vesting |