0001493152-21-007119.txt : 20210329 0001493152-21-007119.hdr.sgml : 20210329 20210329200118 ACCESSION NUMBER: 0001493152-21-007119 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210324 FILED AS OF DATE: 20210329 DATE AS OF CHANGE: 20210329 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: 21783218 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: Yalamanchi Naveen CENTRAL INDEX KEY: 0001725743 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 21783216 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: WONG RODERICK CENTRAL INDEX KEY: 0001493280 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 21783217 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 2021-03-24 0 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001493215 RTW INVESTMENTS, LP 40 10TH AVENUE, FLOOR 7 NEW YORK, NY 10014 1 0 1 0 0001493280 WONG RODERICK 40 10TH AVENUE, FLOOR 7 NEW YORK, NY 10014 1 0 1 0 0001725743 Yalamanchi Naveen 40 10TH AVENUE, FLOOR 7 NEW YORK, NY 10014 1 0 0 0 Common Stock 2021-03-24 4 J 0 1344925 D 16185119 I See Footnote The reported securities were held by RTW Special Purpose Fund II, LLC ("SPF II"). RTW Investments, LP ("RTW") is the investment manager of SPF II. Roderick Wong, M.D., is the Managing Partner and Chief Investment Officer of RTW and is a director of the Issuer and Chairman of the Issuer's Board of Directors. Naveen Yalamanchi, M.D., is a Partner and Portfolio Manager of RTW and is a director of the Issuer. On March 24, 2021, SPF II made an in-kind distribution of the reported securities to its non-managing members. The distribution was consistent with SPF II's operating agreement and was made on a pro rata basis to all non-managing SPF II members. No consideration was received by the Reporting Persons in connection with such distribution. The Reporting Persons did not have any pecuniary interest in the Common Stock distributed by SPF II. 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/ Alice Lee 2021-03-29 Roderick Wong, M.D. By: /s/ Alice Lee 2021-03-29 Naveen Yalamanchi, M.D. By: /s/ Alice Lee 2021-03-29