0000902664-23-002478.txt : 20230405
0000902664-23-002478.hdr.sgml : 20230405
20230405163111
ACCESSION NUMBER: 0000902664-23-002478
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220519
FILED AS OF DATE: 20230405
DATE AS OF CHANGE: 20230405
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: 23802988
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: 23802987
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
X0407
4
2022-05-19
0
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001493215
RTW INVESTMENTS, LP
40 10TH AVENUE
7TH FLOOR
NEW YORK
NY
10014
0
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
Common stock, $0.01 par value ("Common Stock")
2022-12-01
4
J
0
529038
A
18157605
I
See footnote
Equity Swap (obligation to buy)
40.0324
2022-05-19
4
J
1
1
A
Common Stock
1000000
1000000
I
See footnote
Warrants
65.23
2022-12-01
4
J
0
61705
A
2026-09-02
Common Stock
30852
61705
I
See footnote
Acquired pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022 (the "Merger Agreement"), by and among, Rocket Pharmaceuticals, Inc., a Delaware corporation (the "Issuer"), Renovacor, Inc., a Delaware corporation ( "Renovacor"), and the other parties thereto, in exchange for 3,000,803 shares of Renovacor common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger").
On May 19, 2022, the expiration date of the equity swaps previously reported on the Form 4 filed by the Reporting Persons on May 13, 2021, was extended from September 16, 2024 to September 16, 2025.
Acquired pursuant to the Merger Agreement in exchange for warrants to purchase 350,000 shares of Renovacor common stock on the effective date of the Merger.
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 and Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of the Adviser, currently serve 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
2023-04-05
Roderick Wong, M.D., By: /s/ Roderick Wong
2023-04-05