ROCKET PHARMACEUTICALS, INC. 8-K

What Happened

• Rocket Pharmaceuticals, Inc. announced on March 10, 2026 that it entered into a Sales Agreement with Cantor Fitzgerald & Co. to conduct an at-the-market (ATM) offering. The Company may offer and sell up to $100,000,000 aggregate value of its common stock from time to time, pursuant to its Form S-3 shelf registration (File No. 333-293925) and a prospectus supplement filed March 10, 2026.

Key Details

• Agreement date: March 10, 2026; ATM capacity: up to $100,000,000 of common stock.
• Sales agent: Cantor Fitzgerald & Co.; commissions: up to 3.0% of gross proceeds; Company will also reimburse certain agent expenses and provide customary indemnification.
• Sales are at the Company’s discretion, may be made as “at-the-market” transactions (including on Nasdaq), and may be suspended or terminated by either party; offering ends when shares sold or agreement terminated.
• The Company terminated its prior ATM arrangement with Cowen and Company, LLC (originally dated Feb 28, 2022; amended Sep 12, 2023) upon entering this new agreement. K&L Gates LLP provided a legal opinion related to the Shares.

Why It Matters

• The ATM gives Rocket Pharmaceuticals a flexible, on-demand way to raise up to $100M of equity capital, which can be used for operations, R&D, clinical programs, or other corporate needs without a single large secondary offering.
• There is no guarantee any shares will be sold; issuance would dilute existing shareholders if and when stock is sold. Commissions and fees (up to 3%) will reduce net proceeds.
• Investors should monitor future 8-Ks or SEC filings for the timing, amount and pricing of any actual share sales under this program, and for disclosure on how proceeds are used.