SEC Form 4 · accession 0001140361-18-035455
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Naveen Yalamanchi
Director
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 7:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001281895
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Aug 1, 2018 | S | 637 | $22.00 | D | 113,641 | I | Through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan entered into by Dr. Yalamanchi dated as of July 10, 2018.
- F2Excludes 15,439,577 shares 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 Special Purpose Fund I, LLC, which are investment funds managed by RTW, and (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, in which Dr. Yalamanchi has a pecuniary interest. Dr. Yalamanchi disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
Remarks
Exhibit 24 - Powers of Attorney