4//SEC Filing
WONG RODERICK 4
Accession 0001140361-18-044107
CIK 0001281895other
Filed
Nov 28, 7:00 PM ET
Accepted
Nov 29, 6:02 PM ET
Size
9.8 KB
Accession
0001140361-18-044107
Insider Transaction Report
Form 4
WONG RODERICK
Director10% Owner
Transactions
- Award
Common Stock
2018-11-27$15.50/sh+967,742$15,000,001→ 16,407,319 total(indirect: By RTW)
RTW INVESTMENTS, LP
Director10% OwnerOther
Transactions
- Award
Common Stock
2018-11-27$15.50/sh+967,742$15,000,001→ 16,407,319 total(indirect: By RTW)
Yalamanchi Naveen
Director
Transactions
- Award
Common Stock
2018-11-27$15.50/sh+967,742$15,000,001→ 16,407,319 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 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.
- [F3]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. 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.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
Related Parties
1- filerCIK 0001493280
Filing Metadata
- Form type
- 4
- Filed
- Nov 28, 7:00 PM ET
- Accepted
- Nov 29, 6:02 PM ET
- Size
- 9.8 KB