重大事件
即時報告
8-K
2026-05-21
第一項議案：選舉七名董事。所有候選人均獲通過，得票情況如下：
AI 繁中摘要
Rocket Pharmaceuticals, Inc.（納斯達克代碼：RCKT）於2026年5月20日召開年度股東大會，並在會後提交8-K申報文件，披露四項議案的投票結果。會上共有80,774,659股普通股（約佔已發行股份74.02%）參與表決。
第一項議案：選舉七名董事。所有候選人均獲通過，得票情況如下：
- Peter Fong, M.D.：62,067,824票贊成，1,216,320票 withheld，17,490,515票為經紀人非投票。
- Carsten Boess：62,711,345票贊成，572,799票 withheld。
- Mikael Dolsten, M.D., Ph.D.：59,500,907票贊成，3,783,237票 withheld。
- Fady Malik, M.D., Ph.D.：62,755,875票贊成，528,269票 withheld。
- Gaurav Shah, M.D.：62,808,593票贊成，475,551票 withheld。
- David P. Southwell：43,172,112票贊成，20,112,032票 withheld（得票率相對較低）。
- Roderick Wong, M.D.：62,699,331票贊成，584,813票 withheld。
第二項議案：批准聘任EisnerAmper LLP為2026年度獨立註冊會計師事務所。結果為79,195,009票贊成、1,002,656票反對、576,994票棄權，順利通過。
第三項議案：針對公司指定高管的薪酬進行非約束性諮詢投票。結果為61,389,376票贊成、1,671,016票反對、223,752票棄權，加上17,490,515票經紀人非投票，議案獲股東通過。
第四項議案：批准股票期權交換計劃。結果為45,582,445票贊成、17,615,213票反對、86,486票棄權，加上經紀人非投票，議案同樣獲得通過。
總結：所有四項提案均獲股東支持，其中董事選舉及高管薪酬分別以超過97%及97.3%的贊成票（不計經紀人非投票）通過；股票期權交換計劃則有約72%的贊成票（不含經紀人非投票）。David P. Southwell的 withheld 票數較高，但無礙其連任。整體表決反映股東對現有管理層及薪酬政策持肯定態度，對公司治理及員工激勵計劃亦表達支持。投資者宜留意後續可能與期權交換相關的財務影響，以及公司研發進展。
展開英文正文
false000128189500012818952026-05-202026-05-20 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 20, 2026 Rocket Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36829 04-3475813 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 9 Cedarbrook Drive Cranbury, NJ 08512 (Address of principal executive offices, including zip code) (609) 659-8001 (Registrant’s telephone number, including area code) Not applicable (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2): ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol(s) Name of each exchange on which registered Common stock, $0.01 par value RCKT The Nasdaq Global Market Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter). Emerging growth company ☐ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ Item 5.07. Submission of Matters to a Vote of Security Holders. The 2026 Annual Meeting of Stockholders of Rocket Pharmaceuticals, Inc. (the “Company”) was held on May 20, 2026 (the “Annual Meeting”). At the Annual Meeting, there were present, in person or by proxy, holders of 80,774,659 shares of common stock, or approximately 74.02% of the total outstanding shares eligible to be voted. The holders present voted on the four proposals presented at the Annual Meeting as follows. Proposal One - Election of Directors The Company’s stockholders approved the election of seven directors to the Company’s Board of Directors (“Board”) by the following votes: Nominee Votes For Votes Withheld Broker Non-Votes Peter Fong, M.D. 62,067,824 1,216,320 17,490,515 Carsten Boess 62,711,345 572,799 17,490,515 Mikael Dolsten, M.D., Ph.D. 59,500,907 3,783,237 17,490,515 Fady Malik, M.D., Ph.D. 62,755,875 528,269 17,490,515 Gaurav Shah, M.D. 62,808,593 475,551 17,490,515 David P. Southwell 43,172,112 20,112,032 17,490,515 Roderick Wong, M.D. 62,699,331 584,813 17,490,515 Proposal Two - Ratification of Appointment of Independent Registered Accounting Firm The Company’s stockholders ratified the appointment of EisnerAmper LLP as the Company’s independent registered accounting firm for the fiscal year ending December 31, 2026 by the following votes: Votes For Votes Against Abstentions 79,195,009 1,002,656 576,994 Proposal Three - Non-Binding Advisory Vote on the Compensation of the Company’s Named Executive Officers The Company’s stockholders approved, on a non-binding, advisory basis, the compensation of the Company’s named executive officers, as disclosed in the 2026 Proxy Statement pursuant to Section 14A of the Exchange Act (the “2026 Proxy Statement”). The final votes were: Votes For Votes Against Abstentions Broker Non-Votes 61,389,376 1,671,016 223,752 17,490,515 Proposal Four – Stock Option Exchange Program The Company’s stockholders approved the proposed stock option exchange program as described in the 2026 Proxy Statement. The final votes were: Votes For Votes Against Abstentions Broker Non-Votes 45,582,445 17,615,213 86,486 17,490,515 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Rocket Pharmaceuticals, Inc. Date: May 21, 2026 By: /s/ Gaurav Shah, MD Gaurav Shah, MD Chief Executive Officer and Director