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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2022
Dec 23, 2022
33148_dirs_2022-12-23_3deeaa79-a6e5-4129-a285-d1a8c2e6d9cb.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: 2022-12-23
Reporting Person: RTW INVESTMENTS, LP (10% Owner, See Remarks)
Reporting Person: WONG RODERICK (Director, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-12-23 | Notional Derivative Agreements (obligation to buy) | $ | J | 1 | Acquired | Common Stock (59000) | Indirect |
Footnotes
F1: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.
F2: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the shares of Common Stock held by certain investment funds managed by the Adviser (the "RTW Funds") and (ii) Roderick Wong, M.D. ("Dr. Wong"), who serves as the Managing Partner and Chief Investment Officer of the Adviser and who is a director of the Issuer and Chairman of the Issuer's Board of Directors.