RCKT

SEC source: 0000902664-22-005284 · ownership.xml · derivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner · See Remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1

Underlying: Common Stock · 59,000 shares

Expires not disclosed

F1 · security: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · derivative.exercise_price: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · kind: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · shares: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · price: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · derivative.exercise_date: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · derivative.expiration_date: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · balance_after: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $17.8112. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the shares of Common Stock 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.

SEC source: 0000902664-22-005275 · ownership.xml · derivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner · See Remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1

Underlying: Common Stock · 41,000 shares

Expires not disclosed

F1 · security: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · derivative.exercise_price: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · kind: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · shares: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · price: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · derivative.exercise_date: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · derivative.expiration_date: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F1 · balance_after: The RTW Funds (as defined below) entered into certain notional principal amount derivative agreements in the form of cash settled swaps with a reference price of $19.0916. The derivative agreements shall continue until terminated as elected by the parties and currently have an initial reference termination date of September 16, 2025.

F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the shares of Common Stock 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.

SEC source: 0000902664-23-002478 · ownership.xml · derivative · entry 3

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner · See Remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 61,705

Underlying: Common Stock · 30,852 shares

Expires 2026-09-02

F3 · price: 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.

F3 · derivative.exercise_date: 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 · ownership.nature: 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.

SEC source: 0000902664-23-002478 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner · See Remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 18,157,605

F1 · price: 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 · ownership.nature: 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.

SEC source: 0000902664-22-004508 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner · See Remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 17,628,567

F1 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the shares of Common Stock 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.

SEC source: 0001140361-22-029894 · form4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,896

Underlying: Common Stock · 22,896 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units will become fully vested on August 12, 2025.

F2 · derivative.expiration_date: The restricted stock units will become fully vested on August 12, 2025.

SEC source: 0001140361-22-029890 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,310

Underlying: Common Stock · 14,310 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units will become fully vested on August 12, 2025.

F2 · derivative.expiration_date: The restricted stock units will become fully vested on August 12, 2025.

SEC source: 0001140361-22-029888 · form4.xml · derivative · entry 2

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,763

Underlying: Common Stock · 28,763 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units will become fully vested on August 12, 2025.

F3 · derivative.expiration_date: The restricted stock units will become fully vested on August 12, 2025.

SEC source: 0001140361-22-029888 · form4.xml · derivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,318

Underlying: Common Stock · 20,318 shares

Expires 2032-08-11

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,318 shares of the Issuer's common stock, which will become fully vested and exercisable on August 12, 2025.

SEC source: 0001140361-22-029892 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,489

Underlying: Common Stock · 52,489 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units will become fully vested on August 12, 2025.

F2 · derivative.expiration_date: The restricted stock units will become fully vested on August 12, 2025.

SEC source: 0001140361-24-015101 · form4.xml · derivative · entry 8

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,310 shares

Expires not disclosed

F1 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · security: Vests in full on August 12, 2025.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

SEC source: 0001140361-24-015101 · form4.xml · nonDerivative · entry 3

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,662

F1 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · security: Vests in full on August 12, 2025.

F1 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

SEC source: 0001140361-24-026873 · form4.xml · derivative · entry 6

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,763 shares

Expires not disclosed

F2 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · security: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F2 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · derivative.exercise_date: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F3 · derivative.expiration_date: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

SEC source: 0001140361-24-026873 · form4.xml · nonDerivative · entry 2

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,863

F2 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F3 · security: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F2 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 12

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 52,489 shares

Expires not disclosed

F4 · security: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F4 · derivative.exercise_date: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F4 · derivative.expiration_date: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 366,283

F3 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F4 · security: Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.

F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

SEC source: 0001140361-22-023149 · form4.xml · derivative · entry 2

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,345

Underlying: Common Stock · 7,345 shares

Expires 2032-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 7,345 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023. This option was issued to the Reporting Person in lieu of director retainer fees of $50,000.

SEC source: 0001140361-22-023149 · form4.xml · derivative · entry 1

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023151 · form4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,876

Underlying: Common Stock · 5,876 shares

Expires 2032-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 5,876 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023. This option was issued to the Reporting Person in lieu of director retainer fees of $40,000.

SEC source: 0001140361-22-023151 · form4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023148 · form4.xml · derivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,876

Underlying: Common Stock · 5,876 shares

Expires 2032-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 5,876 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023. This option was issued to the Reporting Person in lieu of director retainer fees of $40,000.

SEC source: 0001140361-22-023148 · form4.xml · derivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023152 · form4.xml · derivative · entry 1

Malik Fady Ibraham · CIK 0001551778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023150 · form4.xml · derivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023147 · form4.xml · derivative · entry 2

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,283

Underlying: Common Stock · 10,283 shares

Expires 2032-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 10,283 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023. This option was issued to the Reporting Person in lieu of director retainer fees of $70,000.

SEC source: 0001140361-22-023147 · form4.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023146 · form4.xml · derivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0001140361-22-023145 · form4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,745

Underlying: Common Stock · 47,745 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 47,745 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2023.

SEC source: 0000902664-23-002478 · ownership.xml · derivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner · See Remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F2 · security: 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.

F2 · kind: 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.

F2 · shares: 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.

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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 · ownership.nature: 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.

SEC source: 0001140361-22-015162 · form4.xml · derivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,054

Underlying: Common Stock · 19,054 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-015162 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,910

Underlying: Common Stock · 28,910 shares

Expires 2032-04-17

F1 · derivative.exercise_date: This option represents a right to purchase a total of 28,910 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-015101 · form4.xml · derivative · entry 7

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,932 shares

Expires not disclosed

F1 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F2 · security: One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

SEC source: 0001140361-24-015101 · form4.xml · nonDerivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,352

F1 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

F2 · security: One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.

SEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 6

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,529

F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."

F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.

SEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 5

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,555

F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."

F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.70 to $15.99, inclusive.

SEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 4

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,529

F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."

F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.

SEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 3

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,527

F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."

F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.83 to $15.99, inclusive.

SEC source: 0001140361-22-012640 · form4.xml · nonDerivative · entry 2

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,529

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive.

SEC source: 0001140361-22-012640 · form4.xml · nonDerivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,967

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 2 and 3 to this Form 4.

SEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 2

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,529

F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive.

SEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,967

F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3, 4, 5, 6, 7 and 8 to this Form 4.

SEC source: 0001140361-22-009222 · form4.xml · derivative · entry 2

Malik Fady Ibraham · CIK 0001551778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,641

Underlying: Common Stock · 8,641 shares

Expires 2032-03-10

F2 · derivative.exercise_date: This option represents a right to purchase a total of 8,641 shares of the Issuer's common stock, which will fully vest on March 10, 2024.

SEC source: 0001140361-22-009222 · form4.xml · derivative · entry 1

Malik Fady Ibraham · CIK 0001551778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,199

Underlying: Common Stock · 33,199 shares

Expires 2032-03-10

F1 · derivative.exercise_date: This option represents a right to purchase a total of 33,199 shares of the Issuer's common stock, which will vest in equal monthly installments over a three-year period, such that all of the shares underlying this option will be fully vested on March 10, 2025.

SEC source: 0001140361-22-005825 · form4.xml · derivative · entry 2

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,984

Underlying: Common Stock · 25,984 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-005825 · form4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,010

Underlying: Common Stock · 81,010 shares

Expires 2032-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 81,010 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-005824 · form4.xml · derivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,661

Underlying: Common Stock · 8,661 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-005824 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,003

Underlying: Common Stock · 27,003 shares

Expires 2032-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 27,003 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-005831 · form4.xml · derivative · entry 2

Garcia-Parada Carlos · CIK 0001839342 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,322

Underlying: Common Stock · 17,322 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-005831 · form4.xml · derivative · entry 1

Garcia-Parada Carlos · CIK 0001839342 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,006

Underlying: Common Stock · 54,006 shares

Expires 2032-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 54,006 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-22-005826 · form4.xml · derivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,637

Underlying: Common Stock · 47,637 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.