---
schema_version: "secwatch.filing_event.v1"
accession: "0001140361-23-044141"
form_type: "8-K"
ticker: "RCKT"
cik: "0001281895"
company_name: "ROCKET PHARMACEUTICALS, INC."
filed_at: "2023-09-15T23:59:59+00:00"
generated_at: "2026-06-10T16:01:47.175427+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Rocket Pharmaceuticals raises ~$188.9M in public offering of common stock and pre-funded warrants

## Summary
- Offered 7,812,500 shares at $16.00/share and pre-funded warrants for 3,126,955 shares at $15.99 each.
- Underwriters exercised full 30-day option to purchase an additional 1,640,918 shares.
- Net proceeds of ~$188.9M to fund gene therapy pipeline including RP-A501 Phase 2 trial.
- 90-day lock-up agreements for executive officers, directors, and certain shareholders.

## SEC filing metadata
- accession: 0001140361-23-044141
- form_type: 8-K
- ticker: RCKT
- cik: 0001281895
- company_name: ROCKET PHARMACEUTICALS, INC.
- filed_at: 2023-09-15T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 1.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1281895/000114036123044141/0001140361-23-044141-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1281895/000114036123044141/ny20010507x5_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001140361-23-044141
- JSON: https://secwatch.observer/filing/0001140361-23-044141.json
- Plain text: https://secwatch.observer/filing/0001140361-23-044141.txt

## Key facts
- Material Agreements
  ROCKET PHARMACEUTICALS, INC. entered into Underwriting Agreement with J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC, Leerink Partners LLC and Cowen and Company, LLC (effective 2023-09-12).
  - Action: entry
  - Agreement: underwriting
  - Counterparty: J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC, Leerink Partners LLC and Cowen and Company, LLC
  - Effective: 2023-09-12
  source text: On September 12, 2023, Rocket Pharmaceuticals, Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC, Leerink Partners LLC and Cowen and Company, LLC, as representatives of the several underwriters named in Schedule A thereto (collectively, the “Underwriters”), pursuant to which the Company agreed to issue and sell up to (i) 7,812,500 shares of common stock (the “Shares”), and (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase 3,126,955 shares of common stock (the “Offering”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/1281895/000114036123044141/0001140361-23-044141-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.