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Filing Details

Accession Number:: 0001493152-20-023575
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-14 19:19:01
Reporting Period:: 2020-12-10

Accepted Time:: 2020-12-14 19:19:01
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1281895	Rocket Pharmaceuticals Inc.	RCKT	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1493215	Rtw Investments, Lp	40 10Th Avenue, Floor 7 New York NY 10014	Yes	No	Yes	No
1493280	Roderick Wong	C/O Rocket Pharmaceuticals, Inc. 350 Fifth Avenue, Suite 7530 New York NY 10118	Yes	No	Yes	No
1725743	Naveen Yalamanchi	C/O Rocket Pharmaceuticals, Inc. 350 Fifth Avenue, Suite 7530 New York NY 10118	Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-12-10	247,720	$56.00	17,530,044	No	4	P	Indirect	By RTW

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By RTW

Footnotes

Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $56.00 per share.
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., RTW Special Purpose Fund II, LLC 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.
Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or his pecuniary interest therein. The shares reported above exclude (i) 82,391 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016 (the "Yalamanchi Trust"); and (ii) 31,250 shares of common stock indirectly beneficially held by Dr. Yalamanchi through and previously gifted to the Yalamanchi Family Foundation by the Yalamanchi Trust.