RCKT

SEC source: 0001140361-22-005826 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,518

Underlying: Common Stock · 148,518 shares

Expires 2032-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 148,518 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: 0001140361-22-005823 · form4.xml · derivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,275

Underlying: Common Stock · 95,275 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: 0001140361-22-005823 · form4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,037

Underlying: Common Stock · 297,037 shares

Expires 2032-02-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 297,037 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: 0001140361-24-015101 · form4.xml · derivative · entry 6

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,903 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 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,420

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: 0001140361-24-026878 · form4.xml · derivative · entry 10

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,763 shares

Expires not disclosed

F1 · security: Represents RSUs initially granted on February 14, 2022. 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.

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.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2022. 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 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2022. 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.

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 670,074

F1 · security: Represents RSUs initially granted on February 14, 2022. 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.

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.

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: 0001140361-24-026871 · form4.xml · derivative · entry 11

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,970 shares

Expires not disclosed

F1 · security: Represents RSUs initially granted on February 14, 2022. 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.

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.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2022. 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 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2022. 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.

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 3

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,794

F1 · security: Represents RSUs initially granted on February 14, 2022. 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.

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.

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: 0001140361-22-004209 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,639

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.03 to $17.50, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc. ("RCKT"), any security holder of RCKT, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001140361-21-040891 · form4.xml · derivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-12-06

F1 · derivative.exercise_date: This option represents a right to purchase a total of 100,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on December 6, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-031349 · form4.xml · derivative · entry 1

Garcia-Parada Carlos · CIK 0001839342 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-09-13

F1 · derivative.exercise_date: The option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on September 13, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0000899243-21-034630 · doc4.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

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

Yalamanchi Naveen · CIK 0001725743 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 16,272,635

F1 · ownership.nature: The shares of common stock were purchased from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: The securities reported herein may be deemed 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 Venture Fund Limited, which are investment funds managed by RTW, (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, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Drs. Wong and Yalamanchi disclaim beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of their pecuniary interest therein. The shares reported above exclude 82,391 shares of common stock indirectly beneficially held by Dr. Yalamanchi through a trust.

SEC source: 0001140361-22-008638 · form4.xml · nonDerivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Simran Investment Group

Disclosed balance after: 674,901

F1 · shares: The shares were gifted by the reporting person to a nonrevocable trust for the benefit of the reporting person's children. The reporting person has no voting or investment power over all securities owned by the trust.

SEC source: 0001140361-21-021733 · form4.xml · nonDerivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Simran Investment Group

Disclosed balance after: 1,296,401

F1 · ownership.nature: The securities reported herein were sold to cover certain tax liabilities. The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein.

SEC source: 0001140361-21-021733 · form4.xml · nonDerivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Simran Investment Group

Disclosed balance after: 1,296,801

F1 · ownership.nature: The securities reported herein were sold to cover certain tax liabilities. The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein.

SEC source: 0001140361-21-021291 · form4.xml · derivative · entry 2

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,699

Underlying: Common Stock · 1,699 shares

Expires 2031-06-14

F2 · derivative.exercise_date: This option represents a right to purchase a total of 1,699 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022. This option was issued to the Reporting Person in lieu of director retainer fees of $50,000.

SEC source: 0001140361-21-021291 · form4.xml · derivative · entry 1

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,236

Underlying: Common Stock · 12,236 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001140361-21-021302 · form4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,529

Underlying: Common Stock · 1,529 shares

Expires 2031-06-14

F2 · derivative.exercise_date: This option represents a right to purchase a total of 1,529 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022. This option was issued to the Reporting Person in lieu of director retainer fees of $45,000.

SEC source: 0001140361-21-021302 · form4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,236

Underlying: Common Stock · 12,236 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001140361-21-021298 · form4.xml · derivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,295

Underlying: Common Stock · 15,295 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 15,295 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001140361-21-021305 · form4.xml · derivative · entry 2

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,379

Underlying: Common Stock · 2,379 shares

Expires 2031-06-14

F2 · derivative.exercise_date: This option represents a right to purchase a total of 2,379 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022. This option was issued to the Reporting Person in lieu of director retainer fees of $70,000.

SEC source: 0001140361-21-021305 · form4.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,236

Underlying: Common Stock · 12,236 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001140361-21-021300 · form4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,236

Underlying: Common Stock · 12,236 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001140361-21-021295 · form4.xml · derivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,236

Underlying: Common Stock · 12,236 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001140361-21-021287 · form4.xml · derivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,236

Underlying: Common Stock · 12,236 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022.

SEC source: 0001493152-21-011359 · ownership.xml · derivative · entry 2

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F3 · kind: On May 11, 2021, an investment fund managed by RTW entered into an equity swap agreement with a third party. The reported equity swaps were on 1,000,000 shares of Common Stock of the Issuer. Under the equity swap, the fund will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to the fund any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swaps expire on September 16, 2024, subject to extension.

F3 · price: On May 11, 2021, an investment fund managed by RTW entered into an equity swap agreement with a third party. The reported equity swaps were on 1,000,000 shares of Common Stock of the Issuer. Under the equity swap, the fund will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to the fund any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swaps expire on September 16, 2024, subject to extension.

F3 · derivative.exercise_date: On May 11, 2021, an investment fund managed by RTW entered into an equity swap agreement with a third party. The reported equity swaps were on 1,000,000 shares of Common Stock of the Issuer. Under the equity swap, the fund will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to the fund any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swaps expire on September 16, 2024, subject to extension.

F3 · derivative.expiration_date: On May 11, 2021, an investment fund managed by RTW entered into an equity swap agreement with a third party. The reported equity swaps were on 1,000,000 shares of Common Stock of the Issuer. Under the equity swap, the fund will be obligated to pay to the third party any depreciation of the reference shares between the trade date and maturity, plus an accruing funding charge, and the third party will be obligated to pay to the fund any appreciation of the reference shares between the trade date and maturity, minus an accruing funding charge. The equity swaps expire on September 16, 2024, subject to extension.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW, which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited, which are investment funds managed by RTW, (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, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

SEC source: 0001493152-21-011359 · ownership.xml · nonDerivative · entry 1

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 15,460,119

F1 · kind: This Form 4 is being filed in connection with the sale of the Issuer's Common Stock by an investment fund managed by RTW Investments, LP ("RTW") and the equity swap transactions described below entered into by another investment fund managed by RTW, to increase the funds' aggregate economic exposure to the Issuer and rebalance holdings between the funds. As a result of these transactions, the aggregate pecuniary interest of the funds has increased by 275,000 shares.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW, which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited, which are investment funds managed by RTW, (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, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

SEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,639

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F5 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $46.88 to $47.76. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,114

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F4 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $45.88 to $46.87. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 511,986

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F3 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.83 to $45.79. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · derivative · entry 11

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,880 shares

Expires 2027-04-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: This option is fully vested and exercisable.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 8

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,398

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F8 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.67 to $45.66. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 7

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 548,401

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F7 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.67 to $44.66. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 6

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 609,751

F6 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price and the tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. These shares were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options and the tax liability

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,905

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $45.67 to $46.57. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,871

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F5 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.24 to $44.56. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 545,376

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F4 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.24 to $44.23. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,108

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F3 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $42.245 to $43.23. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,092

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings

F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $41.165 to $42.15. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-010348 · form4.xml · derivative · entry 6

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Sock · 38,093 shares

Expires 2027-04-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option is fully vested and exercisable.

SEC source: 0001140361-21-010348 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Sock · 55,869 shares

Expires 2026-04-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option is fully vested and exercisable.

SEC source: 0001140361-21-010348 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,939

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001140361-21-010348 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,846

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001493152-21-007119 · ownership.xml · nonDerivative · entry 1

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,185,119

F1 · kind: The reported securities were held by RTW Special Purpose Fund II, LLC ("SPF II"). RTW Investments, LP ("RTW") is the investment manager of SPF II. Roderick Wong, M.D., is the Managing Partner and Chief Investment Officer of RTW and is a director of the Issuer and Chairman of the Issuer's Board of Directors. Naveen Yalamanchi, M.D., is a Partner and Portfolio Manager of RTW and is a director of the Issuer. On March 24, 2021, SPF II made an in-kind distribution of the reported securities to its non-managing members. The distribution was consistent with SPF II's operating agreement and was made on a pro rata basis to all non-managing SPF II members. No consideration was received by the Reporting Persons in connection with such distribution. The Reporting Persons did not have any pecuniary interest in the Common Stock distributed by SPF II.

F1 · price: The reported securities were held by RTW Special Purpose Fund II, LLC ("SPF II"). RTW Investments, LP ("RTW") is the investment manager of SPF II. Roderick Wong, M.D., is the Managing Partner and Chief Investment Officer of RTW and is a director of the Issuer and Chairman of the Issuer's Board of Directors. Naveen Yalamanchi, M.D., is a Partner and Portfolio Manager of RTW and is a director of the Issuer. On March 24, 2021, SPF II made an in-kind distribution of the reported securities to its non-managing members. The distribution was consistent with SPF II's operating agreement and was made on a pro rata basis to all non-managing SPF II members. No consideration was received by the Reporting Persons in connection with such distribution. The Reporting Persons did not have any pecuniary interest in the Common Stock distributed by SPF II.

F1 · ownership.nature: The reported securities were held by RTW Special Purpose Fund II, LLC ("SPF II"). RTW Investments, LP ("RTW") is the investment manager of SPF II. Roderick Wong, M.D., is the Managing Partner and Chief Investment Officer of RTW and is a director of the Issuer and Chairman of the Issuer's Board of Directors. Naveen Yalamanchi, M.D., is a Partner and Portfolio Manager of RTW and is a director of the Issuer. On March 24, 2021, SPF II made an in-kind distribution of the reported securities to its non-managing members. The distribution was consistent with SPF II's operating agreement and was made on a pro rata basis to all non-managing SPF II members. No consideration was received by the Reporting Persons in connection with such distribution. The Reporting Persons did not have any pecuniary interest in the Common Stock distributed by SPF II.

SEC source: 0001140361-21-003780 · form4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The option represents a right to purchase a total of 35,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-003784 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The option represents a right to purchase a total of 18,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-003782 · form4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Sock · 185,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The option represents a right to purchase a total of 185,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-003787 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Sock · 120,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The option represents a right to purchase a total of 120,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.