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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2025
Sep 23, 2025
33148_dirs_2025-09-23_3cbae28e-8319-45c9-9a73-283223a4a933.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: 2025-09-19
Reporting Person: RTW INVESTMENTS, LP (N/A)
Reporting Person: WONG RODERICK (Director, 10% Owner, See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2025-09-19 | Common Stock | X | 1000000 | $40.0324 | Acquired | 19188457 | Indirect |
| 2025-09-19 | Common Stock | J | 1000000 | $3.105 | Disposed | 18188457 | Indirect |
| 2025-09-19 | Common Stock | X | 41000 | $19.0916 | Acquired | 18229457 | Indirect |
| 2025-09-19 | Common Stock | J | 41000 | $3.105 | Disposed | 18188457 | Indirect |
| 2025-09-19 | Common Stock | X | 59000 | $17.8112 | Acquired | 18247457 | Indirect |
| 2025-09-19 | Common Stock | J | 59000 | $3.105 | Disposed | 18188457 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2025-09-19 | Equity Swap (obligation to buy) | $40.0324 | X | 1 | Disposed | Common Stock (1000000) | Indirect | |
| 2025-09-19 | Equity Swap (obligation to buy) | $19.0916 | X | 1 | Disposed | Common Stock (41000) | Indirect | |
| 2025-09-19 | Equity Swap (obligation to buy) | $17.8112 | X | 1 | Disposed | Common Stock (59000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 47667 | Direct |
Footnotes
F1: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F2: 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.
F3: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F4: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F5: Represents restricted stock units ("RSUs") held by Dr. Wong that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.