0000902664-23-004827.txt : 20230919 0000902664-23-004827.hdr.sgml : 20230919 20230919161551 ACCESSION NUMBER: 0000902664-23-004827 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230915 FILED AS OF DATE: 20230919 DATE AS OF CHANGE: 20230919 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: 231263950 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: 231263949 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 X0508 4 2023-09-15 0 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001493215 RTW INVESTMENTS, LP 40 10TH AVENUE 7TH FLOOR NEW YORK NY 10014 1 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 0 Pre-funded Warrant (right to buy) 0.01 2023-09-15 4 P 0 3126955 15.99 A Common Stock 3126955 3126955 I See footnote Subject to the terms and conditions set forth in the Pre-funded Warrant, the holder thereof may, at any time and from time to time on or after September 15, 2023, exercise the Pre-funded Warrant until it has been exercised in full. The Pre-funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-funded Warrants beneficially owned by the Reporting Persons are not presently exercisable. 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. 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, Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of the Adviser, and Gotham Makker, who serves as a Partner and Head of Strategic Investments of the Adviser, currently serves 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 2023-09-19 Roderick Wong, M.D., By: /s/ Roderick Wong 2023-09-19