4//SEC Filing
RTW INVESTMENTS, LP 4
Accession 0001231919-25-000232
CIK 0001281895other
Filed
Sep 22, 8:00 PM ET
Accepted
Sep 23, 4:21 PM ET
Size
24.7 KB
Accession
0001231919-25-000232
Insider Transaction Report
Form 4
RTW INVESTMENTS, LP
Director10% OwnerOther
Transactions
- Exercise of In-MoneySwap
Common Stock
2025-09-19$40.03/sh+1,000,000$40,032,400→ 19,188,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Common Stock
2025-09-19$17.81/sh+59,000$1,050,861→ 18,247,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Equity Swap (obligation to buy)
2025-09-19−1→ 0 total(indirect: See footnote)Exercise: $19.09→ Common Stock (41,000 underlying) - OtherSwap
Common Stock
2025-09-19$3.10/sh−1,000,000$3,105,000→ 18,188,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Common Stock
2025-09-19$19.09/sh+41,000$782,756→ 18,229,457 total(indirect: See footnote) - OtherSwap
Common Stock
2025-09-19$3.10/sh−41,000$127,305→ 18,188,457 total(indirect: See footnote) - OtherSwap
Common Stock
2025-09-19$3.10/sh−59,000$183,195→ 18,188,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Equity Swap (obligation to buy)
2025-09-19−1→ 0 total(indirect: See footnote)Exercise: $40.03→ Common Stock (1,000,000 underlying) - Exercise of In-MoneySwap
Equity Swap (obligation to buy)
2025-09-19−1→ 0 total(indirect: See footnote)Exercise: $17.81→ Common Stock (59,000 underlying)
Holdings
- 47,667
Common Stock
WONG RODERICK
Director10% Owner
Transactions
- Exercise of In-MoneySwap
Equity Swap (obligation to buy)
2025-09-19−1→ 0 total(indirect: See footnote)Exercise: $19.09→ Common Stock (41,000 underlying) - OtherSwap
Common Stock
2025-09-19$3.10/sh−1,000,000$3,105,000→ 18,188,457 total(indirect: See footnote) - OtherSwap
Common Stock
2025-09-19$3.10/sh−41,000$127,305→ 18,188,457 total(indirect: See footnote) - OtherSwap
Common Stock
2025-09-19$3.10/sh−59,000$183,195→ 18,188,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Equity Swap (obligation to buy)
2025-09-19−1→ 0 total(indirect: See footnote)Exercise: $40.03→ Common Stock (1,000,000 underlying) - Exercise of In-MoneySwap
Common Stock
2025-09-19$40.03/sh+1,000,000$40,032,400→ 19,188,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Common Stock
2025-09-19$17.81/sh+59,000$1,050,861→ 18,247,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Common Stock
2025-09-19$19.09/sh+41,000$782,756→ 18,229,457 total(indirect: See footnote) - Exercise of In-MoneySwap
Equity Swap (obligation to buy)
2025-09-19−1→ 0 total(indirect: See footnote)Exercise: $17.81→ Common Stock (59,000 underlying)
Holdings
- 47,667
Common Stock
Footnotes (5)
- [F1]On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
- [F2]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.
- [F3]On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
- [F4]On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
- [F5]Represents restricted stock units ("RSUs") held by Dr. Wong that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001493215
Filing Metadata
- Form type
- 4
- Filed
- Sep 22, 8:00 PM ET
- Accepted
- Sep 23, 4:21 PM ET
- Size
- 24.7 KB