AI assistant
ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Jan 17, 2018
33148_dirs_2018-01-16_33aebe72-d9fc-4728-8601-4fbac3ec3534.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-01-04
Reporting Person: RTW INVESTMENTS, LP (10% Owner)
Reporting Person: WONG RODERICK (Director, 10% Owner)
Reporting Person: Yalamanchi Naveen (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15553855 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.01 | 2025-11-21 | Common Stock (1333237) | Indirect | |
| Stock Option (right to buy) | $1.32 | 2025-12-15 | Common Stock (2666475) | Indirect | |
| Stock Option (right to buy) | $0.01 | 2025-11-11 | Common Stock (952312) | Indirect |
Footnotes
F1: 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. and RTW Special Purpose Fund I, LLC, 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.
F2: (Continued from Footnote 1) 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. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of his pecuniary interest therein.
F3: Derivative securities were assumed by the Issuer on January 4, 2018 (the "Effective Date") in connection with the Issuer's acquisition of Rocket Pharmaceuticals, Ltd. Assumed derivative securities became exercisable for Issuer common stock as of the Effective Date. The ability of the reporting person(s) to exercise the options may be subject to beneficial ownership limitations.