RCKT offering history
Every offering-related filing in ROCKET PHARMACEUTICALS, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 966 filings back to Feb 25, 2004.
| Date | Filing | What it means | |
|---|---|---|---|
| Oct 6, 2026 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Mar 10, 2026 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 10, 2026 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Mar 2, 2026 | S-3 → | REGISTERED | S-3 registration — capacity to sell shares, not a sale yet |
| Dec 12, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 10, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Aug 16, 2024 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Sep 20, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Sep 13, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Sep 12, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| May 8, 2023 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Oct 31, 2022 | 424B3 → | UPDATE | Prospectus update — often a resale registration, not necessarily new capital |
| Oct 31, 2022 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Oct 4, 2022 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Oct 3, 2022 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 1, 2022 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Sep 10, 2021 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Sep 3, 2021 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Aug 30, 2021 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| May 10, 2021 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Mar 2, 2021 | S-3 → | REGISTERED | S-3 registration — capacity to sell shares, not a sale yet |
| Dec 11, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 9, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 9, 2020 | S-3MEF → | REGISTERED | S-3MEF registration — capacity to sell shares, not a sale yet |
| Jun 8, 2020 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Feb 11, 2020 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Dec 11, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 10, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Jun 24, 2019 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Jun 17, 2019 | S-3 → | REGISTERED | S-3 registration — capacity to sell shares, not a sale yet |
| Apr 17, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Apr 15, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 29, 2018 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Nov 29, 2018 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 28, 2018 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| Nov 26, 2018 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Jul 5, 2018 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Jun 26, 2018 | RW → | WITHDRAWN | Registration withdrawn |
| Jun 26, 2018 | S-3 → | REGISTERED | S-3 registration — capacity to sell shares, not a sale yet |
| Jun 25, 2018 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
Two honest limits. (1) A 424B takedown can price shares or notes — EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.
RCKT offering FAQ
When did RCKT last execute an offering?
Per SEC filings, ROCKET PHARMACEUTICALS, INC.'s most recent priced offering document is a 8-K filed 2026-10-06. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did RCKT last announce or register an offering?
The most recent registration is a S-3 filed 2026-03-02. A registration is capacity to sell shares — not a sale.
Does an offering always mean dilution?
Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.