0001493152-19-019095.txt : 20191212
0001493152-19-019095.hdr.sgml : 20191212
20191212154340
ACCESSION NUMBER: 0001493152-19-019095
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191210
FILED AS OF DATE: 20191212
DATE AS OF CHANGE: 20191212
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: 191281822
BUSINESS ADDRESS:
STREET 1: 412 WEST 15TH STREET
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10011
BUSINESS PHONE: 646-597-6980
MAIL ADDRESS:
STREET 1: 412 WEST 15TH STREET
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10011
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: 191281823
MAIL ADDRESS:
STREET 1: 412 WEST 15TH STREET
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Yalamanchi Naveen
CENTRAL INDEX KEY: 0001725743
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 191281824
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
4
1
ownership.xml
X0306
4
2019-12-10
0
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001493215
RTW INVESTMENTS, LP
412 W 15TH STREET, FLOOR 9
NEW YORK
NY
10011
1
0
1
0
0001493280
WONG RODERICK
C/O ROCKET PHARMACEUTICALS, INC.
350 FIFTH AVENUE, SUITE 7530
NEW YORK
NY
10118
1
0
1
0
0001725743
Yalamanchi Naveen
C/O ROCKET PHARMACEUTICALS, INC.
350 FIFTH AVENUE, SUITE 7530
NEW YORK
NY
10118
1
0
0
0
Common Stock
2019-12-10
4
P
0
225000
22.25
A
17282324
I
By RTW
Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $22.25 per share. The Offering is expected to close on December 13, 2019.
The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd., RTW Special Purpose Fund II, LLC and RTW Venture Fund Limited, which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.
Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or his pecuniary interest therein. The shares reported above exclude 113,641 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016.
Roderick Wong, the Managing Partner and Chief Investment Officer of RTW Investments, LP, is the Chairman of the Issuer's Board of Directors. Additionally, Naveen Yalamanchi, who serves as a Partner and Portfolio Manager of RTW Investments, LP, also serves as a director of the Issuer. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, RTW Investments, LP and its managed investment funds are collectively deemed to be a director by deputization by virtue of the service of Drs. Wong and Yalamanchi on the Issuer's Board of Directors. Consistent with this determination, the Issuer's Board of Directors has acknowledged that RTW Investments, LP and its managed investment funds are collectively deemed to be a director by deputization.
RTW Investments, LP; By: /s/ Alice Lee, attorney-in-fact for RTW Investments, LP
2019-12-12
/s/ Alice Lee, attorney-in-fact for Roderick Wong
2019-12-12
/s/ Alice Lee, attorney-in-fact for Naveen Yalamanchi
2019-12-12