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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023
Aug 30, 2023
33148_dirs_2023-08-30_fb94d405-9bf7-41d7-a853-961c88babe7b.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: 2023-08-28
Reporting Person: RTW INVESTMENTS, LP (Director, 10% Owner, See Remarks)
Reporting Person: WONG RODERICK (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-08-28 | Common Stock, $0.01 par value ("Common Stock") | J | 500000 | $22.05 | Acquired | 18657605 | Indirect |
| 2023-08-28 | Common Stock | J | 500000 | $15.87 | Disposed | 18157605 | Indirect |
| 2023-08-28 | Common Stock | J | 500000 | $22.05 | Disposed | 17657605 | Indirect |
| 2023-08-28 | Common Stock | J | 500000 | $15.87 | Acquired | 18157605 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-08-28 | Equity Swap (obligation to buy) | $22.05 | J | 1 | Disposed | 2023-08-28 | Common Stock (500000) | Indirect |
| 2023-08-28 | Equity Swap (obligation to sell) | $22.05 | J | 1 | Disposed | 2023-08-28 | Common Stock (500000) | Indirect |
Footnotes
F1: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F2: On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy).
F3: On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell).
F4: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the securities 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.