ROCKET PHARMACEUTICALS INC (RCKT)
Institutional ownership reported to the SEC as of Q2 2026, across 32 quarters.
Institutions report 99,762,820 shares against 109,774,597 outstanding. Shares only - option lines are excluded, which is why this can be compared with the company at all. The count comes from the cover page of the company's own most recent report, so it is dated when that was filed rather than at quarter end. A figure this high can overstate: where an adviser and a sub-adviser both report the same shares, both are counted.
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| RTW INVESTMENTS, LP | $60.5M | 17,687,772 | 0.52% | 31q | HELD |
| BlackRock, Inc. | $33.9M | 9,923,962 | 0.00% | 8q | +26.7%+$7.1M |
| VANGUARD PORTFOLIO MANAGEMENT LLC | $19.9M | 5,810,033 | 0.00% | 2q | +23.9%+$3.8M |
| CITIGROUP INC | $16.6M | 4,865,551 | 0.01% | 31q | -4.7%-$828.2K |
| MARSHALL WACE, LLP | $13.8M | 4,029,262 | 0.01% | 3q | +32.6%+$3.4M |
| MILLENNIUM MANAGEMENT LLC | $13.7M | 4,000,344 | 0.00% | 13q | +28.3%+$3.0M |
| Newtyn Management, LLC | $13.7M | 4,000,000 | 1.71% | 5q | +26.3%+$2.9M |
| MAVERICK CAPITAL LTD | $13.4M | 3,923,963 | 0.12% | 21q | +10.0%+$1.2M |
| VANGUARD CAPITAL MANAGEMENT LLC | $12.9M | 3,784,387 | 0.00% | 2q | HELD |
| AQR CAPITAL MANAGEMENT LLC | $11.6M | 3,386,162 | 0.00% | 8q | +10.3%+$1.1M |
| GOLDMAN SACHS GROUP INC | $10.2M incl. $478.8K options CALL | 2,833,427 | 0.00% | 31q | +64.6%+$4.0M |
| Monaco Asset Management SAM | $8.5M | 2,480,468 | 0.67% | 5q | +20.5%+$1.4M |
| GEODE CAPITAL MANAGEMENT, LLC | $8.1M | 2,370,729 | 0.00% | 31q | +8.3%+$620.8K |
| FEDERATED HERMES, INC. | $7.9M | 2,304,207 | 0.01% | 6q | +125.1%+$4.4M |
| JACOBS LEVY EQUITY MANAGEMENT, INC | $6.8M | 1,974,896 | 0.02% | 2q | +374.1%+$5.3M |
| JPMORGAN CHASE & CO | $6.7M | 1,988,413 | 0.00% | 31q | +149.7%+$4.0M |
| STATE STREET CORP | $6.2M | 1,820,121 | 0.00% | 31q | -59.4%-$9.1M |
| DIMENSIONAL FUND ADVISORS LP | $3.8M | 1,125,500 | 0.00% | 31q | +290.4%+$2.9M |
| MORGAN STANLEY | $3.6M | 1,062,522 | 0.00% | 34q | -47.4%-$3.3M |
| Opaleye Management Inc. | $3.4M | 1,000,000 | 0.31% | 3q | +4.7%+$153.9K |
| D. E. Shaw & Co., Inc. | $3.3M | 950,552 | 0.00% | 5q | -56.2%-$4.2M |
| Jump Financial, LLC | $3.0M | 867,900 | 0.02% | 6q | +82.1%+$1.3M |
| RENAISSANCE TECHNOLOGIES LLC | $2.7M | 792,974 | 0.00% | 7q | +24.5%+$532.8K |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC | $2.6M | 749,073 | 0.00% | 31q | +3.4%+$84.4K |
| NORTHERN TRUST CORP | $2.5M | 735,090 | 0.00% | 31q | +14.7%+$322.3K |
| BANK OF AMERICA CORP /DE/ | $2.5M | 734,584 | 0.00% | 31q | +16.6%+$357.2K |
| Prosight Management, LP | $2.4M | 700,000 | 0.41% | 8q | +2.4%+$55.2K |
| Point72 Asset Management, L.P. | $2.3M | 670,527 | 0.00% | 3q | -33.8%-$1.2M |
| Qube Research & Technologies Ltd | $2.2M | 644,869 | 0.00% | new | NEW |
| Woodline Partners LP | $2.2M | 641,222 | 0.01% | 2q | HELD |
| VANGUARD FIDUCIARY TRUST CO | $2.0M | 592,844 | 0.00% | 2q | HELD |
| FMR LLC | $1.7M | 488,299 | 0.00% | 31q | +5.5%+$87.8K |
| IEQ CAPITAL, LLC | $1.5M | 440,255 | 0.01% | 6q | +15.3%+$199.8K |
| ADAR1 Capital Management, LLC | $1.5M | 435,500 | 0.07% | 9q | +0.7%+$10.3K |
| Aberdeen Group plc | $1.4M | 397,727 | 0.00% | 2q | -40.2%-$913.5K |
| BNP PARIBAS FINANCIAL MARKETS | $1.3M | 387,065 | 0.00% | 30q | +43.8%+$403.1K |
| Invesco Ltd. | $1.3M | 383,316 | 0.00% | 31q | +10.3%+$122.3K |
| LOS ANGELES CAPITAL MANAGEMENT LLC | $1.2M | 348,093 | 0.00% | new | NEW |
| Susquehanna Portfolio Strategies, LLC | $1.1M | 332,106 | 0.02% | 6q | +27.3%+$243.8K |
| LPL Financial LLC | $1.1M | 321,836 | 0.00% | 14q | +106.2%+$566.9K |
| TWO SIGMA INVESTMENTS, LP | $1.1M | 315,761 | 0.00% | 5q | -71.2%-$2.7M |
| BIT Capital GmbH | $1.0M | 298,000 | 0.03% | new | NEW |
| AMERIPRISE FINANCIAL INC | $940.5K | 275,009 | 0.00% | 4q | +2015.8%+$896.1K |
| Bank of New York Mellon Corp | $888.5K | 259,809 | 0.00% | 31q | +8.3%+$68.3K |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $845.5K incl. $711.0K options CALL+PUT | 39,335 | 0.00% | 30q | -89.8%-$7.4M |
| Privium Fund Management B.V. | $835.0K | 244,146 | 0.15% | 17q | +0.8%+$6.8K |
| Hennion & Walsh Asset Management, Inc. | $769.2K | 224,927 | 0.02% | 17q | -21.9%-$215.1K |
| M28 Capital Management LP | $721.2K | 210,871 | 1.53% | 19q | HELD |
| ALLIANCEBERNSTEIN L.P. | $700.4K | 195,650 | 0.00% | 31q | +44.3%+$215.1K |
| UBS Group AG | $689.6K | 201,642 | 0.00% | 29q | -84.5%-$3.8M |
| Nuveen, LLC | $683.3K | 199,794 | 0.00% | 6q | -93.6%-$10.0M |
| Mariner, LLC | $679.4K | 198,662 | 0.00% | 7q | +4.5%+$29.2K |
| PRICE T ROWE ASSOCIATES INC /MD/ | $641.0K | 187,415 | 0.00% | 31q | -78.2%-$2.3M |
| PDT Partners, LLC | $638.2K | 186,596 | 0.03% | 5q | HELD |
| Squarepoint Ops LLC | $619.5K | 181,147 | 0.00% | 6q | +524.9%+$520.4K |
| Amitell Capital Pte Ltd | $611.4K | 178,769 | 0.56% | 5q | HELD |
| Assenagon Asset Management S.A. | $580.1K | 169,630 | 0.00% | 4q | +71.3%+$241.5K |
| GROUP ONE TRADING LLC | $565.7K CALL | options only | 0.00% | 17q | OPTIONS |
| RAYMOND JAMES FINANCIAL INC | $542.1K | 158,502 | 0.00% | 7q | +6.2%+$31.8K |
| MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd. | $522.0K | 152,631 | 0.00% | 9q | +44.5%+$160.9K |
| Russell Investments Group, Ltd. | $516.2K | 150,933 | 0.00% | 17q | +176.4%+$329.4K |
| SIMPLEX TRADING, LLC | $492.1K CALL+PUT | options only | 0.00% | 23q | OPTIONS |
| CITADEL ADVISORS LLC | $465.7K incl. $222.3K options CALL | 71,170 | 0.00% | 31q | HELD |
| PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO | $462.0K | 135,100 | 0.00% | new | NEW |
| Jain Global LLC | $460.6K | 134,665 | 0.00% | new | NEW |
| Creative Planning | $450.0K | 131,583 | 0.00% | 7q | -39.6%-$295.0K |
| Virtus Investment Advisers, LLC | $406.9K | 118,981 | 0.09% | 6q | +47.9%+$131.8K |
| RHUMBLINE ADVISERS | $381.0K | 111,412 | 0.00% | 31q | +1.1%+$4.2K |
| Schonfeld Strategic Advisors LLC | $378.5K | 110,666 | 0.00% | new | NEW |
| MERCER GLOBAL ADVISORS INC /ADV | $369.5K | 108,028 | 0.00% | 4q | +30.9%+$87.1K |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | $358.0K | 91,568 | 0.00% | 4q | +13.2%+$41.8K |
| AMERICAN CENTURY COMPANIES INC | $347.5K | 101,614 | 0.00% | 2q | +76.5%+$150.7K |
| TANG CAPITAL MANAGEMENT LLC | $342.0K | 100,000 | 0.02% | 12q | HELD |
| RICE HALL JAMES & ASSOCIATES, LLC | $329.9K | 96,469 | 0.02% | 14q | +5.0%+$15.7K |
| BOOTHBAY FUND MANAGEMENT, LLC | $324.0K | 94,727 | 0.00% | 4q | -11.0%-$39.9K |
| Balyasny Asset Management L.P. | $322.4K | 94,264 | 0.00% | 6q | -63.6%-$563.4K |
| Cerity Partners LLC | $314.0K | 91,825 | 0.00% | 4q | +16.3%+$44.0K |
| Weiss Asset Management LP | $294.3K | 86,064 | 0.00% | new | NEW |
| Lion Point Capital, LP | $294.1K | 86,000 | 1.41% | 4q | HELD |
| DEUTSCHE BANK AG\ | $287.9K | 84,177 | 0.00% | 34q | -82.5%-$1.4M |
| WELLS FARGO & COMPANY/MN | $284.2K | 83,086 | 0.00% | 31q | +111.6%+$149.9K |
| Marex Group Ltd | $247.9K | 72,500 | 0.00% | 7q | HELD |
| Engineers Gate Manager LP | $244.7K | 71,549 | 0.00% | 6q | -37.9%-$149.2K |
| PIER 88 INVESTMENT PARTNERS LLC | $244.5K | 71,500 | 0.06% | 12q | +31.9%+$59.2K |
| Ballentine Partners, LLC | $240.8K | 70,405 | 0.00% | 4q | -20.9%-$63.6K |
| BANK OF MONTREAL /CAN/ | $240.8K | 70,399 | 0.00% | 5q | -10.4%-$27.9K |
| Concurrent Investment Advisors, LLC | $224.8K | 65,717 | 0.00% | 5q | -6.9%-$16.8K |
| WELLINGTON MANAGEMENT GROUP LLP | $210.7K | 61,605 | 0.00% | new | NEW |
| Walleye Capital LLC | $206.6K | 60,411 | 0.00% | new | NEW |
| Velan Capital Investment Management LP | $205.2K | 60,000 | 0.12% | 2q | -79.6%-$802.5K |
| CANADA PENSION PLAN INVESTMENT BOARD | $200.1K | 58,500 | 0.00% | 3q | -4.6%-$9.6K |
| NOMURA ASSET MANAGEMENT INTERNATIONAL INC. | $198.0K | 58,000 | 0.00% | 3q | HELD |
| Arax Advisory Partners | $180.4K | 52,755 | 0.00% | 4q | +3930.2%+$175.9K |
| TUDOR INVESTMENT CORP ET AL | $172.7K | 50,493 | 0.00% | 8q | HELD |
| MetLife Investment Management, LLC | $156.1K | 45,656 | 0.00% | 32q | -1.9%-$3.1K |
| Quantinno Capital Management LP | $132.3K | 38,680 | 0.00% | 3q | -49.3%-$128.5K |
| CAPTRUST FINANCIAL ADVISORS | $131.2K | 38,365 | 0.00% | 2q | +17.0%+$19.1K |
| Corient Private Wealth LP | $129.3K | 37,819 | 0.00% | 3q | +17.0%+$18.8K |
| Rockefeller Capital Management L.P. | $119.4K | 34,917 | 0.00% | 20q | -48.5%-$112.5K |
| BRIGHTON JONES LLC | $112.8K | 32,987 | 0.00% | 2q | +33.2%+$28.1K |
Five percent filings
Anyone crossing 5% of a company must say so within days - far sooner than the next quarterly holdings report. A 13D declares an intent to influence the company; a 13G is the passive version. See all activist filings →
| Filed | Form | Filer | % of class |
|---|---|---|---|
| 2026-10-30 | 13G/A | Vanguard Portfolio Management | 1.3% |
Tender offers and delisting
Schedules TO, 13E-3 and 14D-9 and Form 25 filed in the last 180 days. Price a share is read from the filing itself where it states one plainly; a marker means we found no figure we could stand behind, and the reason is on it.
| Filed | What | Filed by | Price a share | Source |
|---|---|---|---|---|
| 2026-09-02 | Delisting notice from the exchange | Nasdaq Stock Market LLC | - | filing |
| 2026-05-28 | Issuer tender, amended | itself | - | filing |
What the company announced
Form 8-K filings from the last 120 days, showing only the items worth a reader's attention. Earnings releases, exhibit attachments and general disclosures are filed constantly and are left out. Filed is when the SEC received it; event is the date the company says the thing happened.
| Filed | Event date | What | Source |
|---|---|---|---|
| 2026-10-06 | 2026-09-30 | Material agreement entered | filing |
| 2026-08-27 | 2026-08-21 | Directors or officers departed or appointed | filing |
What the insiders did
Open market purchases and sales reported on Form 4 in the last 180 days. Grants, option exercises and shares surrendered to cover tax are left out: they are compensation rather than a decision to buy or sell. Where a broker filled one order in tranches the lines are summed, because it was one decision.
Officers and directors
| Date | Insider | Role | Side | Shares | Value |
|---|---|---|---|---|---|
| 2026-09-11 | Wilson Martin | General Counsel | Sold | 75,364 | $256.5K |
| 2026-05-21 | Shah Gaurav | CEO | Sold | 55,684 | $171.8K |
| 2026-08-11 | Stevens Christopher James | Chief Operating Officer | Sold | 36,658 | $128.3K |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 26 | $1.3M | 506,463 | 3 | 7 | 11 | 0.0% |
| Q2 2026 | 183 | $343.6M | 99,762,820 | 17 | 69 | 65 | 0.7% |
| Q1 2026 | 201 | $350.6M | 97,201,465 | 44 | 78 | 53 | 0.8% |
| Q4 2025 | 185 | $323.5M | 91,329,137 | 27 | 59 | 70 | 0.2% |
| Q3 2025 | 175 | $326.0M | 98,691,776 | 28 | 57 | 63 | 1.3% |
| Q2 2025 | 197 | $237.1M | 95,499,895 | 39 | 77 | 46 | 1.2% |
| Q1 2025 | 240 | $728.0M | 107,839,240 | 48 | 108 | 40 | 0.7% |
| Q4 2024 | 226 | $1.4B | 109,664,825 | 46 | 93 | 42 | 0.3% |
| Q3 2024 | 192 | $1.7B | 93,273,849 | 32 | 63 | 50 | 0.4% |
| Q2 2024 | 180 | $2.0B | 92,180,841 | 18 | 72 | 49 | 0.4% |
| Q1 2024 | 194 | $2.6B | 94,425,995 | 20 | 65 | 59 | 1.3% |
| Q4 2023 | 198 | $2.8B | 90,372,152 | 32 | 66 | 63 | 1.9% |
| Q3 2023 | 178 | $1.9B | 89,403,152 | 31 | 77 | 41 | 1.7% |
| Q2 2023 | 165 | $1.5B | 77,551,391 | 18 | 59 | 54 | 0.4% |
| Q1 2023 | 163 | $1.4B | 79,654,016 | 17 | 74 | 34 | 0.3% |
| Q4 2022 | 171 | $1.5B | 76,415,639 | 32 | 72 | 45 | 1.5% |
| Q3 2022 | 158 | $1.4B | 88,376,141 | 31 | 56 | 37 | 0.8% |
| Q2 2022 | 141 | $2.7B | 194,354,981 | 28 | 53 | 37 | 0.0% |
| Q1 2022 | 141 | $1.9B | 117,633,086 | 23 | 52 | 36 | 0.0% |
| Q4 2021 | 144 | $2.8B | 128,420,993 | 20 | 55 | 37 | 0.0% |
| Q3 2021 | 144 | $2.7B | 89,463,881 | 11 | 52 | 45 | 0.1% |
| Q2 2021 | 152 | $4.1B | 92,071,084 | 11 | 62 | 46 | 0.3% |
| Q1 2021 | 171 | $3.9B | 88,870,240 | 26 | 71 | 49 | 0.3% |
| Q4 2020 | 174 | $4.8B | 86,279,210 | 56 | 52 | 46 | 0.6% |
| Q3 2020 | 124 | $1.5B | 65,801,502 | 21 | 36 | 43 | 0.1% |
| Q2 2020 | 117 | $1.4B | 68,088,748 | 26 | 48 | 25 | 0.1% |
| Q1 2020 | 105 | $1.4B | 102,038,353 | 13 | 42 | 28 | 0.1% |
| Q4 2019 | 120 | $1.9B | 82,936,157 | 34 | 39 | 27 | 0.1% |
| Q3 2019 | 92 | $681.6M | 58,500,508 | 14 | 38 | 19 | 0.1% |
| Q2 2019 | 93 | $870.9M | 57,589,784 | 20 | 46 | 14 | 0.8% |
| Q1 2019 | 81 | $891.2M | 50,576,024 | 10 | 32 | 16 | 0.6% |
| Q4 2018 | 86 | $737.1M | 49,839,674 | 2 | 1 | 2 | 0.0% |