Roderick Wong - Aug 27, 2021 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Director, 10%+ Owner
Signature
/s/ Alice Lee, attorney-in-fact for Roderick Wong
Stock symbol
RCKT
Transactions as of
Aug 27, 2021
Transactions value $
$26,390,520
Form type
4
Date filed
8/31/2021, 07:11 PM
Previous filing
Jun 17, 2021
Next filing
Jun 15, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Award $26.4M +813K +5.26% $32.48 16.3M Aug 27, 2021 By RTW F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares of common stock were purchased from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended.
F2 The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited, which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.
F3 Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Drs. Wong and Yalamanchi disclaim beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of their pecuniary interest therein. The shares reported above exclude 82,391 shares of common stock indirectly beneficially held by Dr. Yalamanchi through a trust.

Remarks:

Roderick Wong, M.D., the Managing Partner and Chief Investment Officer of RTW Investments, LP, is the Chairman of the Issuer's Board of Directors. Additionally, Naveen Yalamanchi, who serves as a Partner and Portfolio Manager of RTW Investments, LP, also serves as a director of the Issuer. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, RTW Investments, LP and its managed investment funds are collectively deemed to be a director by deputization by virtue of the service of Drs. Wong and Yalamanchi on the Issuer's Board of Directors. Consistent with this determination, the Issuer's Board of Directors has acknowledged that RTW Investments, LP and its managed investment funds are collectively deemed to be a director by deputization.