4//SEC Filing
RTW INVESTMENTS, LP 4
Accession 0000899243-21-034630
CIK 0001281895other
Filed
Aug 30, 8:00 PM ET
Accepted
Aug 31, 7:11 PM ET
Size
10.2 KB
Accession
0000899243-21-034630
Insider Transaction Report
Form 4
RTW INVESTMENTS, LP
Director10% OwnerOther
Transactions
- Award
Common Stock
2021-08-27$32.48/sh+812,516$26,390,520→ 16,272,635 total(indirect: By RTW)
Yalamanchi Naveen
Director
Transactions
- Award
Common Stock
2021-08-27$32.48/sh+812,516$26,390,520→ 16,272,635 total(indirect: By RTW)
WONG RODERICK
Director10% Owner
Transactions
- Award
Common Stock
2021-08-27$32.48/sh+812,516$26,390,520→ 16,272,635 total(indirect: By RTW)
Footnotes (3)
- [F1]The shares of common stock were purchased from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended.
- [F2]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 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.
- [F3]Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Drs. Wong and Yalamanchi disclaim beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of their pecuniary interest therein. The shares reported above exclude 82,391 shares of common stock indirectly beneficially held by Dr. Yalamanchi through a trust.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001493215
Filing Metadata
- Form type
- 4
- Filed
- Aug 30, 8:00 PM ET
- Accepted
- Aug 31, 7:11 PM ET
- Size
- 10.2 KB