Rtw Investments, Lp - Aug 28, 2023 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Director, Other*, 10%+ Owner
Signature
RTW Investments, LP, By: /s/ Roderick Wong, Managing Partner
Stock symbol
RCKT
Transactions as of
Aug 28, 2023
Transactions value $
$0
Form type
4
Date filed
8/30/2023, 04:15 PM
Previous filing
May 5, 2023
Next filing
Sep 19, 2023

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 $11M +500K +2.75% $22.05 18.7M Aug 28, 2023 See footnote F1, F2, F4
transaction RCKT Common Stock Other -$7.94M -500K -2.68% $15.87 18.2M Aug 28, 2023 See footnote F1, F2, F4
transaction RCKT Common Stock Other -$11M -500K -2.75% $22.05 17.7M Aug 28, 2023 See footnote F1, F3, F4
transaction RCKT Common Stock Other $7.94M +500K +2.83% $15.87 18.2M Aug 28, 2023 See footnote F1, F3, 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 -100% 0 Aug 28, 2023 Common Stock 500K $22.05 See footnote F1, F2, F4
transaction RCKT Equity Swap (obligation to sell) Other -1 -100% 0 Aug 28, 2023 Common Stock 500K $22.05 See footnote F1, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F2 On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy).
F3 On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell).
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, Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of the Adviser, and Gotham Makker, who serves as Head of Strategic Investments of the Adviser, currently serves 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. The 2018 Form 4 reported an expiration date of the reported swaps of August 27, 2023; however the expiration date was in fact August 28, 2023.