Rtw Investments, Lp - Dec 23, 2022 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Other*, 10%+ Owner
Signature
RTW Investments, LP, By: /s/ Roderick Wong, Managing Partner
Stock symbol
RCKT
Transactions as of
Dec 23, 2022
Transactions value $
$0
Form type
4
Date filed
12/23/2022, 03:42 PM
Previous filing
Dec 22, 2022
Next filing
Jan 26, 2023

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RCKT Notional Derivative Agreements (obligation to buy) Other +1 1 Dec 23, 2022 Common Stock 59K See footnote F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.
F2 This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the shares of Common Stock 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.

Remarks:

The Adviser may be deemed to be a director by deputization for purposes of Section 16 under the Securities Exchange Act of 1934 by virtue of the fact that each of Dr. Wong and Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of the Adviser, currently serve on the board of directors of the Issuer. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.