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

Published on January 26, 2018 at 10:50 am by Insider Monkey Staff in Hedge Funds
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Page 7 of 9 – SEC Filing

This Amendment No. 2 (“Amendment No. 2“) amends and supplements the statement on Schedule 13D filed with the Securities and Exchange Commission (the “SEC“) on October 5, 2017 (the “Original Schedule 13D“), as amended by Amendment No. 1 filed with the SEC on October 26, 2017 (“Amendment No. 1“, and together with the Original Schedule 13D and this Amendment No. 2, the “Schedule 13D“) as it relates to the Common Stock, $0.01 par value per share (the “Common Stock“), of the Company (as defined below). Capitalized terms used herein and not otherwise defined in this Amendment No. 2 shall have the meanings set forth in the Schedule 13D. This Amendment No. 2 amends Items 1 and 5 as set forth below. This is the final amendment to the Schedule 13D and constitutes an “exit filing” for the Reporting Persons.

 

Item 1. SECURITY AND ISSUER
Item 1 of the Schedule 13D is hereby amended and restated as follows:
This statement on Schedule 13D relates to the Common Stock of Rocket Pharmaceuticals, Inc. (formally known as Inotek Pharmaceuticals Corporation), a Delaware corporation (the “Company“). The Company’s principal executive offices are located at 430 East 29th Street, Suite 1040, New York, New York 10016.  

 

Item 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 of the Schedule 13D is hereby amended and restated as follows:
(a) See rows (11) and (13) of the cover pages to this Schedule 13D for the aggregate number of shares of Common Stock and percentages of the shares of Common Stock beneficially owned by each of the Reporting Persons. The percentages used in this Schedule 13D are calculated based upon 33,077,793 shares of Common Stock reported to be outstanding as of January 4, 2018 as reflected in the Company’s Current Report on Form 8-K filed with the SEC on January 5, 2018 (the “Form 8-K“), which is the sum of (i) 6,805,686 shares of Common Stock outstanding as of November 8, 2017 as described in the Form 8-K, after giving effect to the 1-for-4 reverse stock split effective on January 4, 2018 and (ii) 26,272,107 shares of Common Stock issued pursuant to the Agreement and Plan of Merger and Reorganization, dated as of September 12, 2017, by and among the Company, Rocket Pharmaceuticals, Ltd. and Rome Merger Sub, a wholly owned subsidiary of the Company.
(b) See rows (7) through (10) of the cover pages to this Schedule 13D for the number of shares of Common Stock as to which each Reporting Person has the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition.

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