13D Filing: Adage Capital Management and Rocket Pharmaceuticals Inc. (RCKT)

Page 6 of 9 – SEC Filing

1

NAME OF REPORTING PERSON

Phillip Gross

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

SOURCE OF FUNDS

AF (see Item 3)

5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
6

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
7

SOLE VOTING POWER

-0-

8

SHARED VOTING POWER

500,000*

9

SOLE DISPOSITIVE POWER

-0-

10

SHARED DISPOSITIVE POWER

500,000*

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON

500,000*

12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

1.51%

14

TYPE OF REPORTING PERSON

IN

* Gives effect to the 1-for-4 reverse stock split effective on January
4, 2018.

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