0000902664-22-005284.txt : 20221223
0000902664-22-005284.hdr.sgml : 20221223
20221223164216
ACCESSION NUMBER: 0000902664-22-005284
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221223
FILED AS OF DATE: 20221223
DATE AS OF CHANGE: 20221223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RTW INVESTMENTS, LP
CENTRAL INDEX KEY: 0001493215
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 221485845
BUSINESS ADDRESS:
STREET 1: 40 10TH AVENUE
STREET 2: 7TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10014
BUSINESS PHONE: 646-597-6980
MAIL ADDRESS:
STREET 1: 40 10TH AVENUE
STREET 2: 7TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10014
FORMER NAME:
FORMER CONFORMED NAME: RTW INVESTMENTS, LLC
DATE OF NAME CHANGE: 20100602
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WONG RODERICK
CENTRAL INDEX KEY: 0001493280
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 221485844
MAIL ADDRESS:
STREET 1: C/O RTW INVESTMENTS, LP
STREET 2: 40 10TH AVENUE, 7TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10014
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROCKET PHARMACEUTICALS, INC.
CENTRAL INDEX KEY: 0001281895
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 350 FIFTH AVENUE
STREET 2: SUITE 7530
CITY: NEW YORK
STATE: NY
ZIP: 10118
BUSINESS PHONE: 646-440-9100
MAIL ADDRESS:
STREET 1: 350 FIFTH AVENUE
STREET 2: SUITE 7530
CITY: NEW YORK
STATE: NY
ZIP: 10118
FORMER COMPANY:
FORMER CONFORMED NAME: INOTEK PHARMACEUTICALS CORP
DATE OF NAME CHANGE: 20040226
4
1
ownership.xml
X0306
4
2022-12-23
0
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001493215
RTW INVESTMENTS, LP
40 10TH AVENUE
7TH FLOOR
NEW YORK
NY
10014
0
0
1
1
See Remarks
0001493280
WONG RODERICK
C/O RTW INVESTMENTS, LP
40 10TH AVENUE, 7TH FLOOR
NEW YORK
NY
10014
1
0
1
0
Notional Derivative Agreements (obligation to buy)
2022-12-23
4
J
1
1
A
Common Stock
59000
1
I
See footnote
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.
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.
The Adviser may be deemed to be a director by deputization for purposes of Section 16 under the Securities Exchange Act of 1934 by virtue of the fact that each of Dr. Wong and Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of the Adviser, currently serve on the board of directors of the Issuer. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
RTW Investments, LP, By: /s/ Roderick Wong, Managing Partner
2022-12-23
Roderick Wong, M.D., By: /s/ Roderick Wong
2022-12-23