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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Aug 4, 2018
33148_dirs_2018-08-03_697b95a0-198f-4654-9f5f-95ef44fd6ce4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-08-01
Reporting Person: Yalamanchi Naveen (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-01 | Common Stock | S | 637 | $22 | Disposed | 113641 | Indirect |
Footnotes
F1: The sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan entered into by Dr. Yalamanchi dated as of July 10, 2018.
F2: Excludes 15,439,577 shares 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 Special Purpose Fund I, LLC, which are investment funds managed by RTW, and (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, in which Dr. Yalamanchi has a pecuniary interest. Dr. Yalamanchi disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.