0001493152-21-011359.txt : 20210513
0001493152-21-011359.hdr.sgml : 20210513
20210513194936
ACCESSION NUMBER: 0001493152-21-011359
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210511
FILED AS OF DATE: 20210513
DATE AS OF CHANGE: 20210513
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: 21921468
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: 21921466
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: 21921467
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
2021-05-11
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
2021-05-11
4
S
0
725000
40.0324
D
15460119
I
By RTW
Equity Swap (Obligation to Buy) 1)
40.0324
2021-05-11
4
J
1
1
A
Common Stock
1000000
1000000
I
By RTW
This Form 4 is being filed in connection with the sale of the Issuer's Common Stock by an investment fund managed by RTW Investments, LP ("RTW") and the equity swap transactions described below entered into by another investment fund managed by RTW, to increase the funds' aggregate economic exposure to the Issuer and rebalance holdings between the funds. As a result of these transactions, the aggregate pecuniary interest of the funds has increased by 275,000 shares.
The securities reported herein may be deemed beneficially owned by each of: (i) RTW, which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. 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.
On May 11, 2021, an investment fund managed by RTW entered into an equity swap agreement with a third party. The reported equity swaps were on 1,000,000 shares of Common Stock of the Issuer. Under the equity swap, the fund will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to the fund any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swaps expire on September 16, 2024, subject to extension.
RTW Investments, LP By: /s/ Alice Lee Attorney-in-fact
2021-05-13
Roderick Wong, M.D. By: /s/ Alice Lee Attorney-in-fact
2021-05-13
Naveen Yalamanchi, M.D. By: /s/ Alice Lee Attorney-in-fact
2021-05-13