Rtw Investments, Lp - Dec 1, 2022 Form 4 Insider Report for Renovacor, Inc. (RCOR)

Role
Other*, 10%+ Owner
Signature
RTW Investments, LP, By: /s/ Roderick Wong, Managing Partner
Stock symbol
RCOR
Transactions as of
Dec 1, 2022
Transactions value $
$0
Form type
4
Date filed
4/5/2023, 04:30 PM
Previous filing
Oct 11, 2022
Next filing
Dec 22, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCOR Common Stock, par value $0.0001 per share ("Common Stock") Other -3M -100% 0 Dec 1, 2022 See footnote F1, F3

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 RCOR Warrant Other -350K -100% 0 Dec 1, 2022 Common Stock 350K See footnote F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Rtw Investments, Lp is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among Rocket Pharmaceuticals, Inc., a Delaware corporation ("Rocket") and Renovacor, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") in exchange for 529,038 shares of Rocket common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger").
F2 Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger.
F3 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.

Remarks:

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.