Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2023-04-05 00:00:00 ET · period of report 2022-05-19 · accession 0000902664-23-002478 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-04-05 | 2022-12-01 | RCKT | RTW INVESTMENTS, LP | 10%, See Remarks | J - Other | — | +529.0K | 18.16M | +3% | — |
| DMI | 2023-04-05 | 2022-05-19+ | RCKT | RTW INVESTMENTS, LP | 10%, See Remarks | J - Other | — | +61.7K | 1.00M | +7% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common stock, $0.01 par value ("Common Stock") | 2022-12-01 | J | A | 529,038 | — | 18,157,605 | I See footnote | — | — | (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"). (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. |
| 2 | Derivative | Warrants | 2022-12-01 | J | A | 61,705 | — | 61,705 | I See footnote | $65.23 · — to 2026-09-02 | 30,852 Common Stock | (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. |
| 3 | Derivative | Equity Swap (obligation to buy) | 2022-05-19 | J | A | 1 | — | 1,000,000 | I See footnote | $40.03 · — to — | 1,000,000 Common Stock | (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. (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. |