0000902664-23-004651.txt : 20230830
0000902664-23-004651.hdr.sgml : 20230830
20230830161519
ACCESSION NUMBER: 0000902664-23-004651
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230828
FILED AS OF DATE: 20230830
DATE AS OF CHANGE: 20230830
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: 231225420
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: 231225419
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
X0508
4
2023-08-28
0
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001493215
RTW INVESTMENTS, LP
40 10TH AVENUE
7TH FLOOR
NEW YORK
NY
10014
1
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")
2023-08-28
4
J
1
500000
22.05
A
18657605
I
See footnote
Common Stock
2023-08-28
4
J
1
500000
15.87
D
18157605
I
See footnote
Common Stock
2023-08-28
4
J
1
500000
22.05
D
17657605
I
See footnote
Common Stock
2023-08-28
4
J
1
500000
15.87
A
18157605
I
See footnote
Equity Swap (obligation to buy)
22.05
2023-08-28
4
J
1
1
D
2018-08-27
2023-08-28
Common Stock
500000
0
I
See footnote
Equity Swap (obligation to sell)
22.05
2023-08-28
4
J
1
1
D
2018-08-27
2023-08-28
Common Stock
500000
0
I
See footnote
This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy).
On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell).
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, Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of the Adviser, and Gotham Makker, who serves as Head of Strategic Investments of the Adviser, currently serves 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. The 2018 Form 4 reported an expiration date of the reported swaps of August 27, 2023; however the expiration date was in fact August 28, 2023.
RTW Investments, LP, By: /s/ Roderick Wong, Managing Partner
2023-08-30
Roderick Wong, M.D., By: /s/ Roderick Wong
2023-08-30