# EDGAR Filing Document

**Accession Number:** 0001493280
**File Stem:** 0001231919-25-000232
**Filing Date:** 2025-9
**Character Count:** 11231
**Document Hash:** 5b5f9e2a4bc0ed380e91a4d8d45bd31b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001231919-25-000232.hdr.sgml**: 20250923

**ACCESSION NUMBER**: 0001231919-25-000232

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250919

**FILED AS OF DATE**: 20250923

**DATE AS OF CHANGE**: 20250923

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** RTW INVESTMENTS, LP
- **CENTRAL INDEX KEY:** 0001493215

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36829
- **FILM NUMBER:** 251333873

**BUSINESS ADDRESS:**
- **STREET 1:** 40 10TH AVENUE
- **STREET 2:** 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10014
- **BUSINESS PHONE:** 646-597-6980

**MAIL ADDRESS:**
- **STREET 1:** 40 10TH AVENUE
- **STREET 2:** 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10014

**FORMER NAME:**
- **FORMER CONFORMED NAME:** RTW INVESTMENTS, LLC
- **DATE OF NAME CHANGE:** 20100602
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** WONG RODERICK
- **CENTRAL INDEX KEY:** 0001493280

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36829
- **FILM NUMBER:** 251333872

**MAIL ADDRESS:**
- **STREET 1:** C/O RTW INVESTMENTS, LP
- **STREET 2:** 40 10TH AVENUE, 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10014
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROCKET PHARMACEUTICALS, INC.
- **CENTRAL INDEX KEY:** 0001281895
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 350 FIFTH AVENUE
- **STREET 2:** SUITE 7530
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10118
- **BUSINESS PHONE:** 646-440-9100

**MAIL ADDRESS:**
- **STREET 1:** 350 FIFTH AVENUE
- **STREET 2:** SUITE 7530
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10118

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INOTEK PHARMACEUTICALS CORP
- **DATE OF NAME CHANGE:** 20040226

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>RTW INVESTMENTS, LP<br><sub>(Last) (First) (Middle)</sub><br>40 10TH AVENUE, FLOOR 7<br><sub>(Street)</sub><br>NEW YORK, NY 10014<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-09-19 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_See remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ROCKET PHARMACEUTICALS, INC. [ RCKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>WONG RODERICK<br><sub>(Last) (First) (Middle)</sub><br>C/O RTW INVESTMENTS, LP<br>40 10TH AVENUE, FLOOR 7<br><sub>(Street)</sub><br>NEW YORK, NY 10014<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-09-19 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ROCKET PHARMACEUTICALS, INC. [ RCKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-09-19 |  | X<sup>(1)</sup> |  | 1000000 | A | $40.0324 | 19188457 | I | See footnote<sup>(2)</sup> |
| Common Stock | 2025-09-19 |  | J<sup>(1)</sup> |  | 1000000 | D | $3.105 | 18188457 | I | See footnote<sup>(2)</sup> |
| Common Stock | 2025-09-19 |  | X<sup>(3)</sup> |  | 41000 | A | $19.0916 | 18229457 | I | See footnote<sup>(2)</sup> |
| Common Stock | 2025-09-19 |  | J<sup>(3)</sup> |  | 41000 | D | $3.105 | 18188457 | I | See footnote<sup>(2)</sup> |
| Common Stock | 2025-09-19 |  | X<sup>(4)</sup> |  | 59000 | A | $17.8112 | 18247457 | I | See footnote<sup>(2)</sup> |
| Common Stock | 2025-09-19 |  | J<sup>(4)</sup> |  | 59000 | D | $3.105 | 18188457 | I | See footnote<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 47667<sup>(5)</sup> | D<sup>(5)</sup> |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Equity Swap (obligation to buy)<sup>(1)</sup> | $40.0324 | 2025-09-19 |  | X<sup>(1)</sup> |  |  | 1 | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 1000000 | <sup>(1)</sup> | 0 | I | See footnote<sup>(2)</sup> |
| Equity Swap (obligation to buy)<sup>(3)</sup> | $19.0916 | 2025-09-19 |  | X<sup>(3)</sup> |  |  | 1 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 41000 | <sup>(3)</sup> | 0 | I | See footnote<sup>(2)</sup> |
| Equity Swap (obligation to buy)<sup>(4)</sup> | $17.8112 | 2025-09-19 |  | X<sup>(4)</sup> |  |  | 1 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 59000 | <sup>(4)</sup> | 0 | I | See footnote<sup>(2)</sup> |

---

### Footnotes:

(1) 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.

(2) 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) 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.

(4) 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.

(5) Represents restricted stock units ("RSUs") held by Dr. Wong that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.

**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, Gotham Makker, who serves as a Partner and Head of Strategic Investments of the Adviser, and Piratip Pratumsuwan, who serves as Managing Director, Research Analyst 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.

**Signature:** RTW Investments, LP, By /s/ Roderick Wong, M.D., Managing Partner  
**Date:** 2025-09-23

**Signature:** Roderick Wong, By /s/ Roderick Wong, M.D.  
**Date:** 2025-09-23

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**