Filing Details

Accession Number:
0001140361-19-007331
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-04-18 16:14:34
Reporting Period:
2019-04-16
Accepted Time:
2019-04-18 16:14:34
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1281895 Rocket Pharmaceuticals Inc. RCKT Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1493215 Rtw Investments, Lp 412 W 15Th Street, Floor 9
New York NY 10011
No No No No
1493280 Roderick Wong C/o Rocket Pharmaceuticals, Inc.
350 Fifth Avenue, Suite 7530
New York NY 10118
No No No No
1725743 Naveen Yalamanchi C/o Rocket Pharmaceuticals, Inc.
350 Fifth Avenue, Suite 7530
New York NY 10118
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-04-16 550,005 $17.50 17,057,324 No 4 P Indirect By RTW
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By RTW
Footnotes
  1. Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering"). The Offering closed on April 18, 2019 and the shares were purchased at the public offering price of $17.50 per share.
  2. 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. and RTW Special Purpose Fund I, LLC (collectively, the "Funds"), 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.
  3. Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of 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.