Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avidity Biosciences, Inc.RNA · Entity 11854 | MP and CIO | August 04, 2021 | August 06, 2021 |
| Immunovant, Inc.HSAC · Entity 3632 | Director · Chief Executive Officer | December 11, 2019 | December 13, 2019 |
| Orchestra BioMed Holdings, Inc.OBIO · Entity 434 | 10% owner | April 27, 2026 | April 29, 2026 |
| ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627 | Director · 10% owner | June 18, 2026 | July 07, 2026 |
| Stoke Therapeutics, Inc.STOK · Entity 1723 | 10% owner | November 08, 2019 | November 12, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Avidity Biosciences, Inc.
Report date August 04, 2021 · Filed August 06, 2021
Jointly reported with RTW INVESTMENTS, LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy RTW | 4,795,000 |
Reported balance
After 2021-08-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-08-04 · Purchase · Acquired 800,000 · Balance 4,795,000 F1: The above-referenced shares (the "Shares") of Avidity Biosciences, Inc. (the "Issuer") reported herein are held in the form of common stock (the "Common Stock"). The Shares are held by RTW Master Fund, Ltd. and one or more funds (together the "Funds"), managed by RTW Investments, LP (the "Adviser"). The Adviser, in its capacity as the investment manager of the Funds, has the power to vote and the power to direct the disposition of all such Shares held by the Funds. Accordingly, for the purposes of Reg. Section 240.13d-3, the Adviser may be deemed to beneficially own an aggregate of 4,795,000 Shares, or 10.5% of the Issuer's 45,600,288 Shares deemed issued and outstanding as of August 4, 2021, as disclosed in the Issuer's Prospectus Supplement to its Prospectus dated July 2, 2021, as such supplement was filed with the Securities and Exchange Commission on August 3, 2021. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy RTW | 0 |
Reported balance
After 2020-06-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-06-11 · Conversion · Disposed 3,995,000 · Balance 0 F2: The shares of Series C Preferred Stock are convertible, at any time, at the holder's election, at a ratio of one-for-2.1095 shares of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series C Preferred Stock will automatically convert at a ratio of one-for-2.1095 shares of the Issuer's common stock. The Series C Preferred Stock has no expiration date. F3: Roderick Wong, M.D., is the Managing Partner and Chief Investment Officer of the Adviser. This report shall not be deemed an admission that the Adviser, the Funds or any other person is the beneficial owner of the securities reported herein for purposes of Section 13 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons herein disclaims beneficial ownership of the Shares reported herein except to the extent of the reporting person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The above-referenced shares (the "Shares") of Avidity Biosciences, Inc. (the "Issuer") reported herein are held in the form of common stock (the "Common Stock"). The Shares are held by RTW Master Fund, Ltd. and one or more funds (together the "Funds"), managed by RTW Investments, LP (the "Adviser"). The Adviser, in its capacity as the investment manager of the Funds, has the power to vote and the power to direct the disposition of all such Shares held by the Funds. Accordingly, for the purposes of Reg. Section 240.13d-3, the Adviser may be deemed to beneficially own an aggregate of 4,795,000 Shares, or 10.5% of the Issuer's 45,600,288 Shares deemed issued and outstanding as of August 4, 2021, as disclosed in the Issuer's Prospectus Supplement to its Prospectus dated July 2, 2021, as such supplement was filed with the Securities and Exchange Commission on August 3, 2021.
F2: The shares of Series C Preferred Stock are convertible, at any time, at the holder's election, at a ratio of one-for-2.1095 shares of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series C Preferred Stock will automatically convert at a ratio of one-for-2.1095 shares of the Issuer's common stock. The Series C Preferred Stock has no expiration date.
F3: Roderick Wong, M.D., is the Managing Partner and Chief Investment Officer of the Adviser. This report shall not be deemed an admission that the Adviser, the Funds or any other person is the beneficial owner of the securities reported herein for purposes of Section 13 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons herein disclaims beneficial ownership of the Shares reported herein except to the extent of the reporting person's pecuniary interest therein.
Immunovant, Inc.
Report date December 11, 2019 · Filed December 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectBy RTW | 902,498 |
Reported balance
After 2019-12-11 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-11 · Purchase · Acquired 31,500 · Balance 902,498 F1: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.
Orchestra BioMed Holdings, Inc.
Report date April 27, 2026 · Filed April 29, 2026
Jointly reported with RTW INVESTMENTS, LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 9,556,063 |
Last balance in matching sequence
After 2026-04-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-04-27 · Other · Acquired 1,250,032 · Balance 9,556,095 F1: On April 27, 2026, the RTW Funds exercised Pre-Funded Warrants to purchase an aggregate of 1,250,032 shares of the Issuer's common stock for $0.0001 a share. The RTW Funds exercised the Pre-Funded Warrants on a cashless basis, resulting in the Issuer's withholding 32 of such shares to satisfy the exercise price of the Pre-Funded Warrants, and the issuance to the RTW Funds of an aggregate of 1,250,000 shares. F2: Held by certain affiliated funds (the "RTW Funds") managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. Row 2 · 2026-04-27 · Sale · Disposed 32 · Balance 9,556,063 F1: On April 27, 2026, the RTW Funds exercised Pre-Funded Warrants to purchase an aggregate of 1,250,032 shares of the Issuer's common stock for $0.0001 a share. The RTW Funds exercised the Pre-Funded Warrants on a cashless basis, resulting in the Issuer's withholding 32 of such shares to satisfy the exercise price of the Pre-Funded Warrants, and the issuance to the RTW Funds of an aggregate of 1,250,000 shares. F2: Held by certain affiliated funds (the "RTW Funds") managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
| Pre-Funded Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 2,386,331 |
Reported balance
After 2026-04-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-04-27 · Other · Disposed 1,250,032 · Balance 2,386,331 F1: On April 27, 2026, the RTW Funds exercised Pre-Funded Warrants to purchase an aggregate of 1,250,032 shares of the Issuer's common stock for $0.0001 a share. The RTW Funds exercised the Pre-Funded Warrants on a cashless basis, resulting in the Issuer's withholding 32 of such shares to satisfy the exercise price of the Pre-Funded Warrants, and the issuance to the RTW Funds of an aggregate of 1,250,000 shares. F3: The Pre-Funded Warrants have no expiration date and are exercisable immediately. Notwithstanding the foregoing, the RTW Funds shall not be entitled to exercise the Pre-Funded Warrants to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the RTW Funds, together with their Attribution Parties (as defined in the Pre-Funded Warrants), to exceed 19.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise. F2: Held by certain affiliated funds (the "RTW Funds") managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 27, 2026, the RTW Funds exercised Pre-Funded Warrants to purchase an aggregate of 1,250,032 shares of the Issuer's common stock for $0.0001 a share. The RTW Funds exercised the Pre-Funded Warrants on a cashless basis, resulting in the Issuer's withholding 32 of such shares to satisfy the exercise price of the Pre-Funded Warrants, and the issuance to the RTW Funds of an aggregate of 1,250,000 shares.
F2: Held by certain affiliated funds (the "RTW Funds") managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein.
F3: The Pre-Funded Warrants have no expiration date and are exercisable immediately. Notwithstanding the foregoing, the RTW Funds shall not be entitled to exercise the Pre-Funded Warrants to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the RTW Funds, together with their Attribution Parties (as defined in the Pre-Funded Warrants), to exceed 19.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise.
ROCKET PHARMACEUTICALS, INC.
Report date June 18, 2026 · Filed July 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 75,499 |
Reported balance
After 2026-06-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-18 · Grant · Acquired 27,832 · Balance 75,499 F1: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2036-06-18 | Direct | 78,960 |
Reported balance
After 2026-06-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-18 · Grant · Acquired 78,960 · Balance 78,960 F3: This option represents a right to purchase a total of 78,960 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 18,188,457 |
Reported balance
Holding disclosure · report date 2026-06-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 18,188,457 F2: Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser"). The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser and is a director of the Issuer and Chairman of the Issuer's Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2027.
F2: Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser"). The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser and is a director of the Issuer and Chairman of the Issuer's Board of Directors.
F3: This option represents a right to purchase a total of 78,960 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 18, 2027.
Stoke Therapeutics, Inc.
Report date November 08, 2019 · Filed November 12, 2019
Jointly reported with RTW INVESTMENTS, LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectBy RTW | 3,544,248 |
Reported balance
After 2019-11-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-08 · Sale · Disposed 16,434 · Balance 3,544,248 F1: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.
Past disclosures · reporting ended (12)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ALLURION TECHNOLOGIES, INC.
Report date July 21, 2026 · Filed July 23, 2026
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2026-07-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2026-07-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-07-21 · Other · Disposed 209,254 · Balance 0 F1: On July 21, 2026, RTW Master Fund, Ltd. ("Master Fund") entered into an Exchange Agreement with the Issuer pursuant to which the Master Fund exchanged, for no additional consideration, 209,254 shares of the Issuer's Common Stock for a pre-funded warrant exercisable for up to 209,254 shares of the Issuer's Common Stock at an exercise price of $0.0001 per share (a "Pre-Funded Warrant"). F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3: Held directly by Master Fund. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2026-07-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-07-21 · Other · Disposed 161,807 · Balance 0 F4: On July 21, 2026, RTW Innovation entered into an Exchange Agreement with the Issuer pursuant to which the RTW Innovation exchanged, for no additional consideration, 161,807 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 161,807 shares of the Issuer's Common Stock. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F5: Held directly by RTW Innovation. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2026-07-21 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2026-07-21 · Other · Disposed 19,934 · Balance 0 F6: On July 21, 2026, RTW Biotech Fund entered into an Exchange Agreement with the Issuer pursuant to which the RTW Biotech Fund exchanged, for no additional consideration, 19,934 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 19,934 shares of the Issuer's Common Stock. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F7: Held directly by RTW Biotech Fund. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2026-07-21 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2026-07-21 · Other · Disposed 1,771 · Balance 0 F8: On July 21, 2026, RTW Innovation entered into an Exchange Agreement with the Issuer pursuant to which Other RTW Fund exchanged, for no additional consideration, 1,771 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 1,771 shares of the Issuer's Common Stock. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9: Held by an Other RTW Fund. |
| Pre-Funded Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnotes | 209,254 |
Reported balance
After 2026-07-21 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-07-21 · Other · Acquired 209,254 · Balance 209,254 F1: On July 21, 2026, RTW Master Fund, Ltd. ("Master Fund") entered into an Exchange Agreement with the Issuer pursuant to which the Master Fund exchanged, for no additional consideration, 209,254 shares of the Issuer's Common Stock for a pre-funded warrant exercisable for up to 209,254 shares of the Issuer's Common Stock at an exercise price of $0.0001 per share (a "Pre-Funded Warrant"). F10: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the holder shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the holder, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3: Held directly by Master Fund. |
| Pre-Funded Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 161,807 |
Reported balance
After 2026-07-21 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-07-21 · Other · Acquired 161,807 · Balance 161,807 F4: On July 21, 2026, RTW Innovation entered into an Exchange Agreement with the Issuer pursuant to which the RTW Innovation exchanged, for no additional consideration, 161,807 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 161,807 shares of the Issuer's Common Stock. F10: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the holder shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the holder, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F5: Held directly by RTW Innovation. |
| Pre-Funded Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 19,934 |
Reported balance
After 2026-07-21 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-07-21 · Other · Acquired 19,934 · Balance 19,934 F6: On July 21, 2026, RTW Biotech Fund entered into an Exchange Agreement with the Issuer pursuant to which the RTW Biotech Fund exchanged, for no additional consideration, 19,934 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 19,934 shares of the Issuer's Common Stock. F10: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the holder shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the holder, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F7: Held directly by RTW Biotech Fund. |
| Pre-Funded Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 1,771 |
Reported balance
After 2026-07-21 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-07-21 · Other · Acquired 1,771 · Balance 1,771 F8: On July 21, 2026, RTW Innovation entered into an Exchange Agreement with the Issuer pursuant to which Other RTW Fund exchanged, for no additional consideration, 1,771 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 1,771 shares of the Issuer's Common Stock. F10: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the holder shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the holder, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise. F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9: Held by an Other RTW Fund. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 21, 2026, RTW Master Fund, Ltd. ("Master Fund") entered into an Exchange Agreement with the Issuer pursuant to which the Master Fund exchanged, for no additional consideration, 209,254 shares of the Issuer's Common Stock for a pre-funded warrant exercisable for up to 209,254 shares of the Issuer's Common Stock at an exercise price of $0.0001 per share (a "Pre-Funded Warrant").
F2: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including the Master Fund, RTW Innovation Master Fund, Ltd. ("RTW Innovation"), RTW Biotech Opportunities Operating Ltd. ("RTW Biotech Fund") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3: Held directly by Master Fund.
F4: On July 21, 2026, RTW Innovation entered into an Exchange Agreement with the Issuer pursuant to which the RTW Innovation exchanged, for no additional consideration, 161,807 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 161,807 shares of the Issuer's Common Stock.
F5: Held directly by RTW Innovation.
F6: On July 21, 2026, RTW Biotech Fund entered into an Exchange Agreement with the Issuer pursuant to which the RTW Biotech Fund exchanged, for no additional consideration, 19,934 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 19,934 shares of the Issuer's Common Stock.
F7: Held directly by RTW Biotech Fund.
F8: On July 21, 2026, RTW Innovation entered into an Exchange Agreement with the Issuer pursuant to which Other RTW Fund exchanged, for no additional consideration, 1,771 shares of the Issuer's Common Stock for a Pre-Funded Warrant exercisable for 1,771 shares of the Issuer's Common Stock.
F9: Held by an Other RTW Fund.
F10: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the holder shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by the holder, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise.
CARGO Therapeutics, Inc.
Report date January 12, 2024 · Filed January 16, 2024
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2024-01-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 5,175,832 |
Reported balance
After 2024-01-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-01-12 · Other · Disposed 1,842,499 · Balance 5,175,832 F1: The RTW Funds (as defined below) exchanged 1,842,499 shares of Common Stock for 1,842,499 pre-funded warrants pursuant to an Exchange Agreement, dated as of January 12, 2024, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one share of Common Stock for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date. F2: The shares of Common Stock underlying the pre-funded warrants reported on this Form 4 are subject to a lock-up agreement among the RTW Funds and J.P. Morgan Securities LLC, Jefferies LLC and Cowen and Company, LLC, dated October 30, 2023, pursuant to which the shares of common stock underlying the pre-funded warrants reported herein cannot be sold until May 11, 2024. F3: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
Filing footnotes · ownership attribution and instrument terms
F1: The RTW Funds (as defined below) exchanged 1,842,499 shares of Common Stock for 1,842,499 pre-funded warrants pursuant to an Exchange Agreement, dated as of January 12, 2024, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one share of Common Stock for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date.
F2: The shares of Common Stock underlying the pre-funded warrants reported on this Form 4 are subject to a lock-up agreement among the RTW Funds and J.P. Morgan Securities LLC, Jefferies LLC and Cowen and Company, LLC, dated October 30, 2023, pursuant to which the shares of common stock underlying the pre-funded warrants reported herein cannot be sold until May 11, 2024.
F3: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser.
DermTech, Inc.
Report date January 26, 2021 · Filed November 08, 2022
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2022-11-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,018,666 |
Last balance in matching sequence
After 2022-11-04 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-01-26 · Other · Acquired 31,450 · Balance 3,118,666 F1: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Row 2 · 2022-11-04 · Sale · Disposed 100,000 · Balance 3,018,666 F1: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $9.54 · Expires 2021-03-07 | IndirectSee footnote | 0 |
Reported balance
After 2021-01-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-01-26 · Other · Disposed 31,450 · Balance 0 F1: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
Filing footnotes · ownership attribution and instrument terms
F1: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser.
Kailera Therapeutics, Inc.
Report date April 20, 2026 · Filed April 22, 2026
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2026-04-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 10,776,820 |
Last balance in matching sequence
After 2026-04-20 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-04-20 · Conversion · Acquired 10,276,820 · Balance 10,276,820 F1: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration on a 1-for-1 basis and had no expiration date. F2: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. Row 2 · 2026-04-20 · Purchase · Acquired 500,000 · Balance 10,776,820 F2: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2026-04-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-04-20 · Conversion · Disposed 8,250,000 · Balance 0 F1: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration on a 1-for-1 basis and had no expiration date. F2: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2026-04-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-04-20 · Conversion · Disposed 2,026,820 · Balance 0 F1: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration on a 1-for-1 basis and had no expiration date. F2: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration on a 1-for-1 basis and had no expiration date.
F2: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein.
Landos Biopharma, Inc.
Report date September 23, 2022 · Filed September 27, 2022
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2022-09-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,975,722 |
Reported balance
After 2022-09-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-09-23 · Sale · Disposed 300,000 · Balance 3,975,722 F1: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
Filing footnotes · ownership attribution and instrument terms
F1: 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser.
LeonaBio, Inc.
Report date September 18, 2020 · Filed September 22, 2020
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2020-09-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy RTW | 2,668,913 |
Last balance in matching sequence
After 2020-09-18 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-09-18 · Conversion · Acquired 1,535,131 · Balance 1,918,913 F1: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020. F2: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein. Row 2 · 2020-09-18 · Purchase · Acquired 750,000 · Balance 2,668,913 F2: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy RTW | 0 |
Reported balance
After 2020-09-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-09-18 · Conversion · Disposed 1,535,131 · Balance 0 F1: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020. F2: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020.
F2: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein.
Milestone Pharmaceuticals Inc.
Report date March 22, 2023 · Filed March 24, 2023
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2023-03-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, no par value ("Common Shares")SEC Table I · non-derivative | IndirectSee footnote | 3,256,102 |
Reported balance
After 2023-03-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-03-22 · Other · Disposed 1,059,000 · Balance 3,256,102 F1: The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date. F2: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
Filing footnotes · ownership attribution and instrument terms
F1: The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date.
F2: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.
Prometheus Biosciences, Inc.
Report date March 16, 2021 · Filed March 16, 2021
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2021-03-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy RTW | 3,264,031 |
Last balance in matching sequence
After 2021-03-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-03-16 · Purchase · Acquired 800,000 · Balance 800,000 F1: Consists of shares of common stock held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "RTW Funds"). F2: 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 the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein Row 2 · 2021-03-16 · Conversion · Acquired 1,017,769 · Balance 1,817,769 F3: Each share of the Issuer's Series D-1 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-1 Preferred Stock had no expiration date. F1: Consists of shares of common stock held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "RTW Funds"). F2: 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 the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein Row 3 · 2021-03-16 · Conversion · Acquired 1,446,262 · Balance 3,264,031 F4: Each share of the Issuer's Series D-2 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-2 Preferred Stock had no expiration date. F1: Consists of shares of common stock held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "RTW Funds"). F2: 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 the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein |
| Series D-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy RTW | 0 |
Reported balance
After 2021-03-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-03-16 · Conversion · Disposed 10,177,703 · Balance 0 F3: Each share of the Issuer's Series D-1 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-1 Preferred Stock had no expiration date. F2: 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 the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein |
| Series D-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy RTW | 0 |
Reported balance
After 2021-03-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-03-16 · Conversion · Disposed 14,462,623 · Balance 0 F4: Each share of the Issuer's Series D-2 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-2 Preferred Stock had no expiration date. F2: 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 the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of shares of common stock held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "RTW Funds").
F2: 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 the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein
F3: Each share of the Issuer's Series D-1 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-1 Preferred Stock had no expiration date.
F4: Each share of the Issuer's Series D-2 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-2 Preferred Stock had no expiration date.
Renovacor, Inc.
Report date December 01, 2022 · Filed April 05, 2023
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2023-04-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2022-12-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-12-01 · Other · Disposed 3,000,803 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among Rocket Pharmaceuticals, Inc., a Delaware corporation ("Rocket") and Renovacor, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") in exchange for 529,038 shares of Rocket common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger"). F3: 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
| WarrantSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2022-12-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-12-01 · Other · Disposed 350,000 · Balance 0 F2: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger. F3: 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among Rocket Pharmaceuticals, Inc., a Delaware corporation ("Rocket") and Renovacor, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") in exchange for 529,038 shares of Rocket common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger").
F2: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger.
F3: 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.
TELA Bio, Inc.
Report date December 17, 2019 · Filed December 18, 2019
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2019-12-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy RTW | 1,139,358 |
Reported balance
After 2019-12-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-17 · Sale · Disposed 36,000 · Balance 1,139,358 F1: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.
Tarsus Pharmaceuticals, Inc.
Report date May 07, 2021 · Filed May 08, 2021
Jointly reported with RTW INVESTMENTS, LP
Section 16 reporting ended · disclosed 2021-05-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy RTW | 2,013,601 |
Reported balance
After 2021-05-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-05-07 · Sale · Disposed 450,000 · Balance 2,013,601 F1: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein.
Yarrow Bioscience, Inc.
Report date July 29, 2026 · Filed July 30, 2026
Jointly reported with RTW Fund Group GP, LLC
Section 16 reporting ended · disclosed 2026-07-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 266,307 |
Reported balance
After 2026-07-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-07-29 · Other · Disposed 133,290 · Balance 266,307 F1: Pursuant to the terms of that certain Exchange Agreement, dated as of July 29, 2026, RTW Entity (as defined below) exchanged 133,290 shares of the Issuer's common stock for pre-funded warrants to purchase an equivalent number of shares of the Issuer's common stock. F2: Held by a certain affiliated entity ("RTW Entity") managed by RTW Fund Group GP, LLC ("RTW Fund Group"). Roderick Wong, M.D. serves as the Managing Member of RTW Fund Group. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
| Pre-Funded Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 8,949,719 |
Reported balance
After 2026-07-29 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-07-29 · Other · Acquired 133,290 · Balance 8,949,719 F1: Pursuant to the terms of that certain Exchange Agreement, dated as of July 29, 2026, RTW Entity (as defined below) exchanged 133,290 shares of the Issuer's common stock for pre-funded warrants to purchase an equivalent number of shares of the Issuer's common stock. F3: The pre-funded warrants to purchase shares of the Issuer's common stock (the "Pre-Funded Warrants") have no expiration date and are exercisable at any time after the date of issuance. A holder of Pre-Funded Warrants may not exercise the Pre-Funded Warrant if the holder, together with its affiliates, would beneficially own more than 9.99% of the number of shares of common stock outstanding immediately after giving effect to such exercise. F2: Held by a certain affiliated entity ("RTW Entity") managed by RTW Fund Group GP, LLC ("RTW Fund Group"). Roderick Wong, M.D. serves as the Managing Member of RTW Fund Group. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Exchange Agreement, dated as of July 29, 2026, RTW Entity (as defined below) exchanged 133,290 shares of the Issuer's common stock for pre-funded warrants to purchase an equivalent number of shares of the Issuer's common stock.
F2: Held by a certain affiliated entity ("RTW Entity") managed by RTW Fund Group GP, LLC ("RTW Fund Group"). Roderick Wong, M.D. serves as the Managing Member of RTW Fund Group. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein.
F3: The pre-funded warrants to purchase shares of the Issuer's common stock (the "Pre-Funded Warrants") have no expiration date and are exercisable at any time after the date of issuance. A holder of Pre-Funded Warrants may not exercise the Pre-Funded Warrant if the holder, together with its affiliates, would beneficially own more than 9.99% of the number of shares of common stock outstanding immediately after giving effect to such exercise.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 16, 2025 Filed Apr 17, 2025 22:36 UTC | ALLURION TECHNOLOGIES, INC. ALUR · Entity 8577 | ConversionCommon Stock, $0.0001 par value per share | 37,863 | $3.35 | $126,841.05 |
DisclosureSEC source: 0001062993-25-007660 · form4.xml · nonDerivative · entry 3 RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner WONG RODERICK · CIK 0001493280 · Director · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · Director · 10% owner RTW Innovation Master Fund Ltd. · CIK 0001776733 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Please see footnotes Disclosed balance after: 164,233 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. F1 · ownership.nature: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported on this Form 3, including RTW Master Fund, Ltd. ("Master Fund") and RTW Innovation Master Fund, Ltd. ("RTW Innovation," and, together with Master Fund and other funds or accounts managed by the Adviser, the "RTW Funds"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F4 · ownership.nature: Held by RTW Funds. Read SEC document |
| April 16, 2025 Filed Apr 17, 2025 22:36 UTC | ALLURION TECHNOLOGIES, INC. ALUR · Entity 8577 | ConversionCommon Stock, $0.0001 par value per share | 631,954 | $3.35 | $2,117,045.90 |
DisclosureSEC source: 0001062993-25-007660 · form4.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner WONG RODERICK · CIK 0001493280 · Director · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · Director · 10% owner RTW Innovation Master Fund Ltd. · CIK 0001776733 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Please see footnotes Disclosed balance after: 1,027,287 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. F1 · ownership.nature: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported on this Form 3, including RTW Master Fund, Ltd. ("Master Fund") and RTW Innovation Master Fund, Ltd. ("RTW Innovation," and, together with Master Fund and other funds or accounts managed by the Adviser, the "RTW Funds"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: Held by RTW Innovation. Read SEC document |
| April 16, 2025 Filed Apr 17, 2025 22:36 UTC | ALLURION TECHNOLOGIES, INC. ALUR · Entity 8577 | ConversionCommon Stock, $0.0001 par value per share | 822,722 | $3.35 | $2,756,118.70 |
DisclosureSEC source: 0001062993-25-007660 · form4.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner WONG RODERICK · CIK 0001493280 · Director · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · Director · 10% owner RTW Innovation Master Fund Ltd. · CIK 0001776733 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Please see footnotes Disclosed balance after: 1,324,532 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. F1 · ownership.nature: RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported on this Form 3, including RTW Master Fund, Ltd. ("Master Fund") and RTW Innovation Master Fund, Ltd. ("RTW Innovation," and, together with Master Fund and other funds or accounts managed by the Adviser, the "RTW Funds"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F2 · ownership.nature: Held by Master Fund. Read SEC document |
| December 12, 2024 Filed Dec 17, 2024 00:38 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantPre-funded Warrant (right to buy) · Derivative | 400,000 | $12.49 Strike: $0.01 | $4,996,000.00 |
DisclosureSEC source: 0001062993-24-020690 · form4.xml · derivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner · See remarks WONG RODERICK · CIK 0001493280 · Director · 10% owner · See remarks 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: 3,526,955 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · shares: The Pre-Funded Warrant was 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 · derivative.exercise_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after December 12, 2024, exercise the Pre-Funded Warrant until exercised in full. The Pre-Funded Warrant reported herein contains an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrant until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrant beneficially owned by the Reporting Persons is not presently exercisable. F2 · derivative.expiration_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after December 12, 2024, exercise the Pre-Funded Warrant until exercised in full. The Pre-Funded Warrant reported herein contains an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrant until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrant beneficially owned by the Reporting Persons is not presently exercisable. F3 · 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. Read SEC document |
| June 13, 2024 Filed Jun 20, 2024 20:10 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 3,325 | $15.04 Strike: $22.86 | $50,008.00 |
DisclosureSEC source: 0001140361-24-030729 · form4.xml · derivative · entry 2 WONG RODERICK · CIK 0001493280 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,325 Underlying: Common Stock · 3,325 shares Expires 2034-06-13 F2 · derivative.exercise_date: This option represents a right to purchase a total of 3,325 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025. This option was issued to the Reporting Person in lieu of director retainer fees of $50,000. Read SEC document |
| June 13, 2024 Filed Jun 20, 2024 20:10 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 23,944 | $0.00 Strike: $22.86 | $0.00 |
DisclosureSEC source: 0001140361-24-030729 · form4.xml · derivative · entry 1 WONG RODERICK · CIK 0001493280 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,944 Underlying: Common Stock · 23,944 shares Expires 2034-06-13 F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025. Read SEC document |
| January 12, 2024 Filed Jan 16, 2024 21:20 UTC | CARGO Therapeutics, Inc. CRGX · Entity 76319 | OtherCommon stock, par value $0.001 per share ("Common Stock") | 1,842,499 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000902664-24-000237 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 5,175,832 F1 · kind: The RTW Funds (as defined below) exchanged 1,842,499 shares of Common Stock for 1,842,499 pre-funded warrants pursuant to an Exchange Agreement, dated as of January 12, 2024, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one share of Common Stock for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date. F2 · shares: The shares of Common Stock underlying the pre-funded warrants reported on this Form 4 are subject to a lock-up agreement among the RTW Funds and J.P. Morgan Securities LLC, Jefferies LLC and Cowen and Company, LLC, dated October 30, 2023, pursuant to which the shares of common stock underlying the pre-funded warrants reported herein cannot be sold until May 11, 2024. F1 · price: The RTW Funds (as defined below) exchanged 1,842,499 shares of Common Stock for 1,842,499 pre-funded warrants pursuant to an Exchange Agreement, dated as of January 12, 2024, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one share of Common Stock for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date. F3 · 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| September 15, 2023 Filed Sep 19, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | PurchasePre-funded Warrant (right to buy) · Derivative | 3,126,955 | $15.99 Strike: $0.01 | $50,000,010.45 |
DisclosureSEC source: 0000902664-23-004827 · 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,126,955 Underlying: Common Stock · 3,126,955 shares Expires not disclosed F1 · derivative.exercise_date: Subject to the terms and conditions set forth in the Pre-funded Warrant, the holder thereof may, at any time and from time to time on or after September 15, 2023, exercise the Pre-funded Warrant until it has been exercised in full. The Pre-funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-funded Warrants beneficially owned by the Reporting Persons are not presently exercisable. F1 · derivative.expiration_date: Subject to the terms and conditions set forth in the Pre-funded Warrant, the holder thereof may, at any time and from time to time on or after September 15, 2023, exercise the Pre-funded Warrant until it has been exercised in full. The Pre-funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-funded Warrants beneficially owned by the Reporting Persons are not presently exercisable. F2 · 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherEquity Swap (obligation to sell) · Derivative | 1 | Not disclosed Strike: $22.05 | Not disclosed |
DisclosureSEC source: 0000902664-23-004651 · ownership.xml · derivative · entry 6 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2023-08-28 F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F3 · kind: On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell). F3 · price: On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell). 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherEquity Swap (obligation to buy) · Derivative | 1 | Not disclosed Strike: $22.05 | Not disclosed |
DisclosureSEC source: 0000902664-23-004651 · ownership.xml · derivative · entry 5 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2023-08-28 F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F2 · kind: On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy). F2 · price: On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy). 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherCommon Stock | 500,000 | $15.87 | $7,935,000.00 |
DisclosureSEC source: 0000902664-23-004651 · ownership.xml · nonDerivative · entry 4 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 18,157,605 F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F3 · kind: On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell). 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherCommon Stock | 500,000 | $22.05 | $11,025,000.00 |
DisclosureSEC source: 0000902664-23-004651 · ownership.xml · nonDerivative · entry 3 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 17,657,605 F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F3 · kind: On August 28, 2023, the equity swap entered into by RTW Master Fund, Ltd. previously reported on the 2018 Form 4, expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Master Fund, Ltd. into an equity swap (obligation to buy); RTW Master Fund, Ltd. in fact entered into an equity swap (obligation to sell). 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherCommon Stock | 500,000 | $15.87 | $7,935,000.00 |
DisclosureSEC source: 0000902664-23-004651 · ownership.xml · nonDerivative · entry 2 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 18,157,605 F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F2 · kind: On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy). 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherCommon Stock, $0.01 par value ("Common Stock") | 500,000 | $22.05 | $11,025,000.00 |
DisclosureSEC source: 0000902664-23-004651 · 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: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 18,657,605 F1 · security: This Form 4 is being filed in connection with the equity swap transactions described below. After the transactions reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F2 · kind: On August 28, 2023, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Form 4 filed by the Reporting Persons on August 29, 2018 (the "2018 Form 4"), expired and settled in accordance with its terms. The 2018 Form 4 reported the entry by RTW Innovation Master Fund, Ltd. into an equity swap (obligation to sell); RTW Innovation Master Fund, Ltd. in fact entered into an equity swap (obligation to buy). 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. Read SEC document |
| June 22, 2023 Filed Jun 26, 2023 23:48 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 3,590 | $13.93 Strike: $21.56 | $50,008.70 |
DisclosureSEC source: 0001140361-23-031531 · form4.xml · derivative · entry 2 WONG RODERICK · CIK 0001493280 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,590 Underlying: Common Stock · 3,590 shares Expires 2033-06-22 F2 · derivative.exercise_date: This option represents a right to purchase a total of 3,590 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 22, 2024. This option was issued to the Reporting Person in lieu of director retainer fees of $50,000. Read SEC document |
| June 22, 2023 Filed Jun 26, 2023 23:48 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 25,850 | $0.00 Strike: $21.56 | $0.00 |
DisclosureSEC source: 0001140361-23-031531 · form4.xml · derivative · entry 1 WONG RODERICK · CIK 0001493280 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,850 Underlying: Common Stock · 25,850 shares Expires 2033-06-22 F1 · derivative.exercise_date: This option represents a right to purchase a total of 25,850 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 22, 2024. Read SEC document |
| April 13, 2023 Filed May 5, 2023 13:11 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | OtherCommon Stock | 502,133 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-23-010266 · form4.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 5,620,645 F1 · kind: On April 20, 2023, Orchestra BioMed Holdings, Inc. (the "Issuer") formally notified the reporting persons that they are entitled to receive 502,133 additional shares of the Issuer's common stock pursuant to an "earn-out" provision in the agreement and plan of merger, dated as of July 4, 2022, as amended (the "Merger Agreement"). The Merger Agreement provided that certain stockholders of Orchestra BioMed, Inc. would receive their pro-rata portion of additional shares of the Issuer's common stock, for no additional consideration, if the volume-weighted average price of the Issuer's common stock is greater than or equal to $15.00 per share over any twenty trading days within any thirty-trading day period (the "Initial Milestone Event") within a specified time-period. The Issuer reported that the Initial Milestone Event was satisfied on April 12, 2023. F1 · price: On April 20, 2023, Orchestra BioMed Holdings, Inc. (the "Issuer") formally notified the reporting persons that they are entitled to receive 502,133 additional shares of the Issuer's common stock pursuant to an "earn-out" provision in the agreement and plan of merger, dated as of July 4, 2022, as amended (the "Merger Agreement"). The Merger Agreement provided that certain stockholders of Orchestra BioMed, Inc. would receive their pro-rata portion of additional shares of the Issuer's common stock, for no additional consideration, if the volume-weighted average price of the Issuer's common stock is greater than or equal to $15.00 per share over any twenty trading days within any thirty-trading day period (the "Initial Milestone Event") within a specified time-period. The Issuer reported that the Initial Milestone Event was satisfied on April 12, 2023. F2 · ownership.nature: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"), and Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The reporting person disclaims beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein. Read SEC document |
| March 22, 2023 Filed Mar 24, 2023 20:30 UTC | Milestone Pharmaceuticals Inc. MIST · Entity 6561 | OtherCommon Shares, no par value ("Common Shares") | 1,059,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000902664-23-002379 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 3,256,102 F1 · kind: The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date. F1 · price: The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date. F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| January 26, 2023 Filed Jan 30, 2023 22:11 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock | 2,310,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-23-001606 · form4.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 5,118,512 F1 · kind: Received in exchange for 4,967,741 shares of Orchestra BioMed, Inc. ("Orchestra") common stock in connection with the merger of Orchestra into Health Sciences Acquisitions Corporation 2 ("HSAC 2"), renamed upon closing "Orchestra BioMed Holdings, Inc." ("OBIO") at an exchange ratio of 0.465 shares of ordinary shares of HSAC2/OBIO for each whole share of Orchestra common stock. On the effective date of the merger, the closing price of OBIO's common stock was $13.31 per share. F1 · price: Received in exchange for 4,967,741 shares of Orchestra BioMed, Inc. ("Orchestra") common stock in connection with the merger of Orchestra into Health Sciences Acquisitions Corporation 2 ("HSAC 2"), renamed upon closing "Orchestra BioMed Holdings, Inc." ("OBIO") at an exchange ratio of 0.465 shares of ordinary shares of HSAC2/OBIO for each whole share of Orchestra common stock. On the effective date of the merger, the closing price of OBIO's common stock was $13.31 per share. F2 · ownership.nature: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"), and Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The reporting persons disclaim beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of their pecuniary interest therein. Read SEC document |
| January 24, 2023 Filed Jan 26, 2023 22:23 UTC | Orchestra BioMed Holdings, Inc. HSAQ · Entity 434 | PurchaseOrdinary Shares | 1,808,512 | $10.00 | $18,085,120.00 |
DisclosureSEC source: 0001062993-23-001419 · form4.xml · nonDerivative · entry 1 WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,808,512 F1 · ownership.nature: Held by certain affiliated funds managed by RTW Investments, LP ("RTW"), and Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of RTW. The reporting person disclaims beneficial ownership of the reported securities for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein. Read SEC document |
| December 23, 2022 Filed Dec 23, 2022 21:42 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherNotional Derivative Agreements (obligation to buy) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 22, 2022 Filed Dec 22, 2022 23:33 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherNotional Derivative Agreements (obligation to buy) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 01, 2022 Filed Apr 5, 2023 20:31 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherWarrants · Derivative | 61,705 | Not disclosed Strike: $65.23 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 01, 2022 Filed Apr 5, 2023 20:31 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherCommon stock, $0.01 par value ("Common Stock") | 529,038 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 01, 2022 Filed Apr 5, 2023 20:30 UTC | Renovacor, Inc. RCOR · Entity 114644 | OtherWarrant · Derivative | 350,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000902664-23-002477 · ownership.xml · derivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner · See Remarks WONG RODERICK · CIK 0001493280 · 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: 0 Underlying: Common Stock · 350,000 shares Expires not disclosed F2 · derivative.exercise_price: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger. F2 · kind: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger. F2 · price: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger. F2 · derivative.exercise_date: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger. F2 · derivative.expiration_date: Disposed of pursuant to the Merger Agreement in exchange for 61,705 Rocket warrants to purchase 30,852 shares of Rocket common stock on the effective date of the Merger. F3 · 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| December 01, 2022 Filed Apr 5, 2023 20:30 UTC | Renovacor, Inc. RCOR · Entity 114644 | OtherCommon Stock, par value $0.0001 per share ("Common Stock") | 3,000,803 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000902664-23-002477 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner · See Remarks WONG RODERICK · CIK 0001493280 · 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: 0 F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among Rocket Pharmaceuticals, Inc., a Delaware corporation ("Rocket") and Renovacor, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") in exchange for 529,038 shares of Rocket common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger"). F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among Rocket Pharmaceuticals, Inc., a Delaware corporation ("Rocket") and Renovacor, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") in exchange for 529,038 shares of Rocket common stock on the effective date of the merger contemplated by the Merger Agreement (the "Merger"). F3 · 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 22:19 UTC | DermTech, Inc. DMTK · Entity 89998 | SaleCommon Stock | 100,000 | $1.77 | $176,660.00 |
DisclosureSEC source: 0000902664-22-004774 · ownership.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 3,018,666 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 20:31 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | PurchaseCommon Stock, $0.01 par value ("Common Stock") | 1,355,932 | $14.75 | $19,999,997.00 |
DisclosureSEC 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. Read SEC document |
| September 23, 2022 Filed Sep 27, 2022 20:30 UTC | Landos Biopharma, Inc. LABP · Entity 90644 | SaleCommon Stock | 300,000 | $0.69 | $207,000.00 |
DisclosureSEC source: 0000902664-22-004363 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 3,975,722 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., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| September 07, 2022 Filed Sep 9, 2022 20:15 UTC | Milestone Pharmaceuticals Inc. MIST · Entity 6561 | SaleCommon Shares | 1,557,346 | $8.71 | $13,564,483.66 |
DisclosureSEC source: 0000902664-22-004219 · ownership.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 4,315,102 F1 · balance_after: Ordinary course rebalancing transactions in which certain RTW Funds (as defined below) rebalance holdings of the Issuer among the RTW Funds. After the transactions reported herein, the amount of Common Shares of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| September 07, 2022 Filed Sep 9, 2022 20:15 UTC | Milestone Pharmaceuticals Inc. MIST · Entity 6561 | PurchaseCommon Shares, no par value ("Common Shares") | 1,557,346 | $8.71 | $13,564,483.66 |
DisclosureSEC source: 0000902664-22-004219 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 4,315,102 F1 · balance_after: Ordinary course rebalancing transactions in which certain RTW Funds (as defined below) rebalance holdings of the Issuer among the RTW Funds. After the transactions reported herein, the amount of Common Shares of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change. F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| July 22, 2022 Filed Jul 25, 2022 12:45 UTC | Orchestra BioMed Holdings, Inc. HSAQ · Entity 434 | PurchaseOrdinary Shares | 1,000,000 | $10.01 | $10,010,000.00 |
DisclosureSEC source: 0001213900-22-041090 · ownership.xml · nonDerivative · entry 1 WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,000,000 F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| June 13, 2022 Filed Jun 16, 2022 01:07 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 5,876 | $6.80 Strike: $10.77 | $39,956.80 |
DisclosureSEC 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. Read SEC document |
| June 13, 2022 Filed Jun 16, 2022 01:07 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 47,745 | $0.00 Strike: $10.77 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 19, 2022 Filed Apr 5, 2023 20:31 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherEquity Swap (obligation to buy) · Derivative | 1 | Not disclosed Strike: $40.03 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| January 18, 2022 Filed Jan 20, 2022 22:00 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 44,440 | $8.00 | $355,520.00 |
DisclosureSEC source: 0000902664-22-000395 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 3,000,803 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| January 14, 2022 Filed Jan 14, 2022 23:13 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 5,723 | $8.00 | $45,784.00 |
DisclosureSEC source: 0000902664-22-000269 · ownership.xml · nonDerivative · entry 4 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 2,956,363 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| January 14, 2022 Filed Jan 14, 2022 23:13 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 145,000 | $8.00 | $1,159,652.00 |
DisclosureSEC source: 0000902664-22-000269 · ownership.xml · nonDerivative · entry 3 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 2,950,640 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| January 13, 2022 Filed Jan 14, 2022 23:13 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 286 | $7.75 | $2,216.50 |
DisclosureSEC source: 0000902664-22-000269 · ownership.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 2,805,640 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| January 12, 2022 Filed Jan 14, 2022 23:13 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 1,950 | $7.67 | $14,957.09 |
DisclosureSEC source: 0000902664-22-000269 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 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: 2,805,354 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 and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Read SEC document |
| January 06, 2022 Filed Jan 7, 2022 00:43 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 51,296 | $8.00 | $410,368.00 |
DisclosureSEC source: 0000902664-22-000093 · ownership.xml · nonDerivative · entry 3 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,803,404 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| January 05, 2022 Filed Jan 7, 2022 00:43 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 100,195 | $8.00 | $801,529.94 |
DisclosureSEC source: 0000902664-22-000093 · ownership.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,752,108 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| January 04, 2022 Filed Jan 7, 2022 00:43 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 3.932 | $8.00 | $31.46 |
DisclosureSEC source: 0000902664-22-000093 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,651,913 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| January 03, 2022 Filed Jan 4, 2022 02:09 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 441 | $7.95 | $3,505.99 |
DisclosureSEC source: 0000902664-22-000009 · ownership.xml · nonDerivative · entry 3 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,647,981 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 02:09 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 3,743 | $8.00 | $29,944.00 |
DisclosureSEC source: 0000902664-22-000009 · ownership.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,647,540 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| December 29, 2021 Filed Jan 4, 2022 02:09 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 479 | $8.00 | $3,832.00 |
DisclosureSEC source: 0000902664-22-000009 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,643,797 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| December 27, 2021 Filed Dec 28, 2021 23:57 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 4,905 | $7.99 | $39,208.61 |
DisclosureSEC source: 0000902664-21-005405 · ownership.xml · nonDerivative · entry 2 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,643,318 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| December 23, 2021 Filed Dec 28, 2021 23:57 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 61,584 | $7.97 | $490,978.44 |
DisclosureSEC source: 0000902664-21-005405 · ownership.xml · nonDerivative · entry 1 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,638,413 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| December 22, 2021 Filed Dec 22, 2021 23:07 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 3,500 | $7.95 | $27,829.90 |
DisclosureSEC source: 0000902664-21-005366 · ownership.xml · nonDerivative · entry 5 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,576,829 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
| December 21, 2021 Filed Dec 22, 2021 23:07 UTC | Renovacor, Inc. RCOR · Entity 114644 | PurchaseCommon Stock | 1,864 | $7.99 | $14,901.75 |
DisclosureSEC source: 0000902664-21-005366 · ownership.xml · nonDerivative · entry 4 RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner WONG RODERICK · CIK 0001493280 · 10% owner RTW MASTER FUND, LTD. · CIK 0001493219 · 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: 2,573,329 F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (the "Adviser"), which is deemed the beneficial owner of shares of Common Stock held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Venture Fund Limited (collectively, the "Funds"), which are investment funds managed by the Adviser, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser. Dr. Wong exercises voting and dispositive control over the shares of Common Stock held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.