Form Type: 4

SEC EDGAR Link
Accession Number:0001493152-21-007119
Date:2021-03-24
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
Original Submission Date:

Reporting Person:

RTW INVESTMENTS, LP
40 10TH AVENUE, FLOOR 7
NEW YORK,, NY 10014

Reporting Person:

WONG RODERICK
40 10TH AVENUE, FLOOR 7
NEW YORK,, NY 10014

Reporting Person:

YALAMANCHI NAVEEN
40 10TH AVENUE, FLOOR 7
NEW YORK,, NY 10014

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-03-24 J 1,344,925 d $0.00 16,185,119 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the reported securities were held by rtw special purpose fund ii, llc ("spf ii"). rtw investments, lp ("rtw") is the investment manager of spf ii. roderick wong, m.d., is the managing partner and chief investment officer of rtw and is a director of the issuer and chairman of the issuer's board of directors. naveen yalamanchi, m.d., is a partner and portfolio manager of rtw and is a director of the issuer. on march 24, 2021, spf ii made an in-kind distribution of the reported securities to its non-managing members. the distribution was consistent with spf ii's operating agreement and was made on a pro rata basis to all non-managing spf ii members. no consideration was received by the reporting persons in connection with such distribution. the reporting persons did not have any pecuniary interest in the common stock distributed by spf ii.
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