Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-21-034630
Date:2021-08-27
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
Original Submission Date:

Reporting Person:

WONG RODERICK
C/O RTW INVESTMENTS, LP
40 10TH AVENUE, 7TH FLOOR NEW YORK, NY 10014

Reporting Person:

RTW INVESTMENTS, LP
40 10TH AVENUE, 7TH FLOOR
NEW YORK, NY 10014

Reporting Person:

YALAMANCHI NAVEEN
C/O RTW INVESTMENTS, LP
40 10TH AVENUE, 7TH FLOOR NEW YORK, NY 10014

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-08-27 A 812,516 a $32.48 16,272,635 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the shares of common stock were purchased from the issuer in a private placement, which transaction is exempt from section 16(b) in accordance with rule 16b-3(d)(1) promulgated under the securities exchange act of 1934, as amended.
f2 the securities reported herein may be deemed beneficially owned by each of: (i) rtw investments, lp ("rtw"), which is deemed the beneficial owner of shares held by rtw master fund, ltd., rtw innovation master fund, ltd. and rtw venture fund limited, which are investment funds managed by rtw, (ii) roderick wong, m.d., who serves as the managing partner and chief investment officer of rtw and who is a director of the issuer and chairman of the issuer's board of directors, and (iii) naveen yalamanchi, m.d., who serves as a partner and portfolio manager of rtw and who is a director of the issuer. dr. wong exercises voting and dispositive control over the securities held by rtw and is therefore deemed be the beneficial owner of securities owned or controlled by rtw.
f3 both dr. wong and dr. yalamanchi have a pecuniary interest in securities held by rtw. drs. wong and yalamanchi disclaim beneficial ownership of the shares of common stock of the issuer beneficially held by rtw, except to the extent of their pecuniary interest therein. the shares reported above exclude 82,391 shares of common stock indirectly beneficially held by dr. yalamanchi through a trust.
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