Rtw Investments, Lp - May 19, 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
May 19, 2022
Transactions value $
$0
Form type
4
Date filed
4/5/2023, 04:31 PM
Previous filing
Jan 20, 2022
Next filing
Sep 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common stock, $0.01 par value ("Common Stock") Other +529K +3% 18.2M Dec 1, 2022 See footnote F1, F4

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 Equity Swap (obligation to buy) Other +1 +0% 1M May 19, 2022 Common Stock 1M $40.03 See footnote F2, F4
transaction RCKT Warrants Other +61.7K 61.7K Dec 1, 2022 Common Stock 30.9K $65.23 See footnote F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Acquired pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022 (the "Merger Agreement"), by and among, Rocket Pharmaceuticals, Inc., a Delaware corporation (the "Issuer"), Renovacor, Inc., a Delaware corporation ( "Renovacor"), and the other parties thereto, in exchange for 3,000,803 shares of Renovacor common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger").
F2 On May 19, 2022, the expiration date of the equity swaps previously reported on the Form 4 filed by the Reporting Persons on May 13, 2021, was extended from September 16, 2024 to September 16, 2025.
F3 Acquired pursuant to the Merger Agreement in exchange for warrants to purchase 350,000 shares of Renovacor common stock on the effective date of the Merger.
F4 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.

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.