0001140361-21-005123.txt : 20210216 0001140361-21-005123.hdr.sgml : 20210216 20210216215401 ACCESSION NUMBER: 0001140361-21-005123 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yalamanchi Naveen CENTRAL INDEX KEY: 0001725743 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 21642441 MAIL ADDRESS: STREET 1: 412 WEST 15TH STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 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 5 1 form5.xml FORM 5 X0306 5 2020-12-31 0 0 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725743 Yalamanchi Naveen C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true Common Stock 2020-12-02 5 G 0 31250 0 D 82391 I The Naveen Yalmanchi Revocable Living Trust, February 9, 2016 Excludes 17,530,044 shares beneficially owned by each of (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of the shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Special Purpose Fund II, LLC, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner of Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, in which Dr. Yalamanchi has a pecuniary interest. Dr. Yalamanchi disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. /s/ Sara Turken, Attorney-in-Fact 2021-02-16