4//SEC Filing
RTW INVESTMENTS, LP 4
Accession 0001493152-19-019095
CIK 0001281895other
Filed
Dec 11, 7:00 PM ET
Accepted
Dec 12, 3:43 PM ET
Size
10.6 KB
Accession
0001493152-19-019095
Insider Transaction Report
Form 4
RTW INVESTMENTS, LP
Director10% OwnerOther
Transactions
- Purchase
Common Stock
2019-12-10$22.25/sh+225,000$5,006,250→ 17,282,324 total(indirect: By RTW)
Yalamanchi Naveen
Director
Transactions
- Purchase
Common Stock
2019-12-10$22.25/sh+225,000$5,006,250→ 17,282,324 total(indirect: By RTW)
WONG RODERICK
Director10% Owner
Transactions
- Purchase
Common Stock
2019-12-10$22.25/sh+225,000$5,006,250→ 17,282,324 total(indirect: By RTW)
Footnotes (3)
- [F1]Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $22.25 per share. The Offering is expected to close on December 13, 2019.
- [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., RTW Special Purpose Fund II, LLC 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. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or 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
IncorporatedDE
Related Parties
1- filerCIK 0001493215
Filing Metadata
- Form type
- 4
- Filed
- Dec 11, 7:00 PM ET
- Accepted
- Dec 12, 3:43 PM ET
- Size
- 10.6 KB