Rocket Pharmaceuticals Inc (RCKT)

HEALTH CARE: BIOTECHNOLOGY & LIFE SCIENCES
SIC: PHARMACEUTICAL PREPARATIONS

350 FIFTH AVENUE NEW YORK, NY 10118

Rocket Pharmaceuticals, Inc. is advancing an integrated and sustainable pipeline of genetic therapies that correct the root cause of complex and rare childhood disorders. The Company's platform-agnostic approach enables it to design the best therapy for each indication, creating potentially transformative options for patients afflicted with rare genetic diseases. Rocket's clinical programs using lentiviral vector (LVV)-based gene therapy are for the treatment of Fanconi Anemia (FA), a difficult to treat genetic disease that leads to bone marrow failure and potentially cancer, Leukocyte Adhesion Deficiency-I (LAD-I), a severe pediatric genetic disorder that causes recurrent and life-threatening infections which are frequently fatal, Pyruvate Kinase Deficiency (PKD) a rare, monogenic red blood cell disorder resulting in increased red cell destruction and mild to life-threatening anemia, and Infantile Malignant Osteopetrosis (IMO), a bone marrow-derived disorder. Rocket's first clinical program using adeno-associated virus (AAV)-based gene therapy is for Danon disease, a devastating, pediatric heart failure condition.

Data as of 2021-09-19 12:57:41 -0400
Market Cap2.203 Billion Shares Outstanding64.43 Million Avg 30-day Volume467.832 Thousand
P/E Ratio Dividend Yield EPS
Price/Sales Debt to Equity EBITDA
Price to Book Value0.0 Forward PE-0.89 Enterprise Value
Total Cash Current Debt Gross Profit
BETA0.95299 52-week High/Low67.48 / 22.04 Next Earnings Date2021-11-03 Price to Cash FLow (P/CF) -81.3202
Data provided by IEX Cloud
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Funds Holding RCKT (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding RCKT BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

GARCIA-PARADA CARLOS CHIEF FINANCIAL OFFICER

40,000 2021-09-13 3

WONG RODERICK

RTW INVESTMENTS, LP

YALAMANCHI NAVEEN

  • Director
  • 10% Owner
16,272,635 2021-08-27 4

MAKKER GOTHAM

1,296,401 2021-06-16 2

GRANADILLO PEDRO P

14,615 2021-06-14 2

SOUTHWELL DAVID P

12,236 2021-06-14 1

BOESS CARSTEN

12,236 2021-06-14 1

WONG RODERICK

15,295 2021-06-14 1

YALAMANCHI NAVEEN

12,236 2021-06-14 2

BJORK ELISABETH

13,935 2021-06-14 1

SHAH GAURAV CEO

901,877 2021-03-31 4

PATEL KINNARI CHIEF OPERATING OFFICER

290,551 2021-03-24 4

MILITELLO JOHN SEE REMARKS

0 2021-02-04 1

SCHWARTZ JONATHAN DAVID CHIEF MEDICAL OFFICER

0 2021-02-04 2

ALAM KAMRAN SVP - FINANCE & PFO

  • Officer
0 2020-02-06 0

BATCHELDER BRIAN SEE REMARKS

  • Officer
0 2018-01-04 0

RITTER DALE VICE PRESIDENT, FINANCE

  • Officer
19,827 2017-09-14 0

BARBERICH TIMOTHY J

  • Director
0 2017-06-20 0

PHILLIPS GARY M.

  • Director
0 2017-06-20 0

HOWES PAUL G

  • Director
0 2017-06-20 0

CARROLL J MARTIN

  • Director
0 2017-06-20 0

MACHADO PATRICK

  • Director
0 2017-06-20 0

SPIVEY RICHARD N.

  • Director
0 2017-06-20 0

BAUMGARTNER RUDOLF A SEE REMARKS

  • Officer
0 2017-01-23 0

DEVON PARK BIOVENTURES LP

DEVON PARK ASSOCIATES, L.P.

DEVON PARK ASSOCIATES, LLC

  • 10% Owner
No longer subject to file 2017-01-04 0

MCVICAR WILLIAM K. SEE REMARKS

  • Officer
0 2016-03-22 0

RHO VENTURES IV HOLDINGS LLC

RHO VENTURES IV-A, L.P.

  • 10% Owner
No longer subject to file 2015-11-16 0

DEVON PARK ASSOCIATES, L.P.

DEVON PARK ASSOCIATES, LLC

KANTESARIA DEVANG

  • 10% Owner
3,253,566 2015-07-14 0

KARABELAS ARGERIS N

  • Director
  • 10% Owner
0 2015-06-24 0

CARE CAPITAL II LLC

CARE CAPITAL INVESTMENTS II LP

CARE CAPITAL OFFSHORE INVESTMENTS II LP

CARE CAPITAL III LLC

CARE CAPITAL INVESTMENTS III L.P.

CARE CAPITAL OFFSHORE INVESTMENTS III LP

  • 10% Owner
0 2015-06-24 0

VOGELBAUM MARTIN

  • Director
0 2015-06-24 0

PEIMER ISAI

  • Director
0 2015-06-24 0

HAREL ITTAI

  • Director
0 2015-06-24 0

RHO VENTURES IV QP LP

RHO VENTURES IV GMBH & CO BETEILIGUNGS KG

RHO VENTURES IV HOLDINGS LLC

RHO VENTURES IV LP

RHO VENTURES IV-A, L.P.

RHO MANAGEMENT VENTURES IV LLC

RHO CAPITAL PARTNERS VERWALTUNGS GMBH

KAIROUZ HABIB

RUCH JOSHUA

LESCHLY MARK

  • 10% Owner
2,870,584 2015-02-23 0

PITANGO VENTURE CAPITAL PRINCIPALS FUND IV, L.P.

PITANGO VENTURE CAPITAL FUND IV, L.P.

PITANGO V.C. FUND IV, L.P.

PITANGO G.C. CAPITAL HOLDINGS LTD.

  • 10% Owner
1,292,584 2015-02-23 0

MEDIMMUNE VENTURES, INC.

  • 10% Owner
1,917,906 2015-02-23 0

KANTESARIA DEVANG

  • 10% Owner
3,243,709 2015-02-23 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

GARCIA-PARADA CARLOS CHIEF FINANCIAL OFFICER

2021-09-15 16:07:33 -0400 2021-09-13 A 40,000 a 40,000 direct

WONG RODERICK - Director - > 10% Owner by rtw

RTW INVESTMENTS, LP - Director - > 10% Owner by rtw

YALAMANCHI NAVEEN - Director - > 10% Owner by rtw

2021-08-31 19:11:51 -0400 2021-08-27 A 812,516 $32.48 a 16,272,635 indirect 0.0 -5.7955 0.0 1 -6.7523 5

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 22:15:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 21:45:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 21:15:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 20:45:02 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 20:15:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 19:45:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 19:15:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 18:45:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 18:15:04 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 17:45:04 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 17:15:03 UTC -0.18 0.25 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 16:45:03 UTC -0.1886 0.2586 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 16:15:03 UTC -0.1886 0.2586 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 15:45:03 UTC -0.1886 0.2586 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 15:15:03 UTC -0.1886 0.2586 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 14:45:03 UTC -0.1832 0.2532 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 14:15:03 UTC -0.1832 0.2532 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 13:45:04 UTC -0.1832 0.2532 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 13:15:03 UTC -0.1832 0.2532 550000
ROCKET PHARMACEUTICALS INC RCKT 2021-09-22 12:45:03 UTC -0.1832 0.2532 550000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
FundVantage Trust- Gotham Enhanced Index Plus Fund RCKT -12.0 shares, $-167.4 2020-03-31 N-PORT
FundVantage Trust- Gotham Index Plus All-Cap Fund RCKT -21.0 shares, $-292.95 2020-03-31 N-PORT
RUSSELL INVESTMENT CO- Sustainable Equity Fund RCKT -1048.0 shares, $-48040.32 2021-04-30 N-PORT
RUSSELL INVESTMENT CO- U.S. Small Cap Equity Fund RCKT -1940.0 shares, $-88929.6 2021-04-30 N-PORT
RUSSELL INVESTMENT FUNDS- U.S. Small Cap Equity Fund RCKT -297.0 shares, $-13154.13 2021-06-30 N-PORT
VANGUARD MONTGOMERY FUNDS- VANGUARD MARKET NEUTRAL FUND RCKT -22326.0 shares, $-988818.54 2021-06-30 N-PORT

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