Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2025-09-23 00:00:00 ET · period of report 2025-09-19 · accession 0001231919-25-000232 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2025-09-23 | 2025-09-19 | RCKT | RTW INVESTMENTS, LP | Dir, 10%, See remarks | J - Other | $3.11 | -1.10M | 18.19M | -6% | -$3.42M |
| DMI | 2025-09-23 | 2025-09-19 | RCKT | RTW INVESTMENTS, LP | Dir, 10%, See remarks | X - OptEx | $38.06 | +1.10M | 18.25M | +6% | +$41.86M |
| DMI | 2025-09-23 | 2025-09-19 | RCKT | RTW INVESTMENTS, LP | Dir, 10%, See remarks | X - OptEx | — | -3 | 0 | -100% | — |
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 | 2025-09-19 | J | D | 59,000 | $3.11 | 18,188,457 | I See footnote | — | — | (F2) 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 | Common | Common Stock | 2025-09-19 | X | A | 1,000,000 | $40.03 | 19,188,457 | I See footnote | — | — | (F2) 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 | Common | Common Stock | 2025-09-19 | J | D | 1,000,000 | $3.11 | 18,188,457 | I See footnote | — | — | (F2) 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. |
| 4 | Common | Common Stock | 2025-09-19 | X | A | 41,000 | $19.09 | 18,229,457 | I See footnote | — | — | (F2) 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. |
| 5 | Common | Common Stock | 2025-09-19 | J | D | 41,000 | $3.11 | 18,188,457 | I See footnote | — | — | (F2) 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. |
| 6 | Common | Common Stock | 2025-09-19 | X | A | 59,000 | $17.81 | 18,247,457 | I See footnote | — | — | (F2) 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. |
| 7 | Derivative | Equity Swap (obligation to buy) | 2025-09-19 | X | D | 1 | — | 0 | I See footnote | $19.09 · — to — | 41,000 Common Stock | (F3) On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. (F2) 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. |
| 8 | Derivative | Equity Swap (obligation to buy) | 2025-09-19 | X | D | 1 | — | 0 | I See footnote | $40.03 · — to — | 1,000,000 Common Stock | (F1) On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. (F2) 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. |
| 9 | Derivative | Equity Swap (obligation to buy) | 2025-09-19 | X | D | 1 | — | 0 | I See footnote | $17.81 · — to — | 59,000 Common Stock | (F4) On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. (F2) 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. |