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RTW INVESTMENTS, LP

Disclosed activity across 15 companies

Tapewire entity
28978
SEC CIK
0001493215

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Avidity Biosciences, Inc.RNA · Entity 1185410% ownerAugust 04, 2021August 06, 2021
Orchestra BioMed Holdings, Inc.OBIO · Entity 43410% ownerApril 27, 2026April 29, 2026
ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627Director · 10% owner · See remarksSeptember 19, 2025September 23, 2025
Stoke Therapeutics, Inc.STOK · Entity 172310% ownerNovember 08, 2019November 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 WONG RODERICK

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy RTW4,795,000 Reported balance After 2021-08-04 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 securityIndirectBy RTW0 Reported balance After 2020-06-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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.

Orchestra BioMed Holdings, Inc.

Report date April 27, 2026 · Filed April 29, 2026

Jointly reported with WONG RODERICK

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote9,556,063 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 rows

Row 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 $0.00IndirectSee footnote2,386,331 Reported balance After 2026-04-27 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 September 19, 2025 · Filed September 23, 2025

Jointly reported with WONG RODERICK

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote18,188,457 Last balance in matching sequence After 2025-09-19 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rows

Row 1 · 2025-09-19 · Other · Acquired 1,000,000 · Balance 19,188,457

F1: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Row 2 · 2025-09-19 · Other · Disposed 1,000,000 · Balance 18,188,457

F1: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Row 3 · 2025-09-19 · Other · Acquired 41,000 · Balance 18,229,457

F3: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Row 4 · 2025-09-19 · Other · Disposed 41,000 · Balance 18,188,457

F3: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Row 5 · 2025-09-19 · Other · Acquired 59,000 · Balance 18,247,457

F4: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Row 6 · 2025-09-19 · Other · Disposed 59,000 · Balance 18,188,457

F4: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Equity Swap (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.03IndirectSee footnote0 Reported balance After 2025-09-19 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2025-09-19 · Other · Disposed 1 · Balance 0

F1: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Equity Swap (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.09IndirectSee footnote0 Reported balance After 2025-09-19 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2025-09-19 · Other · Disposed 1 · Balance 0

F3: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Equity Swap (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.81IndirectSee footnote0 Reported balance After 2025-09-19 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2025-09-19 · Other · Disposed 1 · Balance 0

F4: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

Common StockSEC Table I · non-derivativeDirect47,667 Reported balance Holding disclosure · report date 2025-09-19 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 47,667

F5: Represents restricted stock units ("RSUs") held by Dr. Wong that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.

Filing footnotes · ownership attribution and instrument terms

F1: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2: 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.

F3: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F4: On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F5: Represents restricted stock units ("RSUs") held by Dr. Wong that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.

Stoke Therapeutics, Inc.

Report date November 08, 2019 · Filed November 12, 2019

Jointly reported with WONG RODERICK

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeIndirectBy RTW3,544,248 Reported balance After 2019-11-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 (11)

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 WONG RODERICK

Section 16 reporting ended · disclosed 2026-07-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2026-07-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes0 Reported balance After 2026-07-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes0 Reported balance After 2026-07-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes0 Reported balance After 2026-07-21 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 $0.00IndirectSee Footnotes209,254 Reported balance After 2026-07-21 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 $0.00IndirectSee footnotes161,807 Reported balance After 2026-07-21 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 $0.00IndirectSee footnotes19,934 Reported balance After 2026-07-21 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 $0.00IndirectSee footnotes1,771 Reported balance After 2026-07-21 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2024-01-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivativeIndirectSee footnote5,175,832 Reported balance After 2024-01-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2022-11-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote3,018,666 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 rows

Row 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 2021-03-07IndirectSee footnote0 Reported balance After 2021-01-26 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2026-04-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote10,776,820 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 rows

Row 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 securityIndirectSee footnote0 Reported balance After 2026-04-20 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee footnote0 Reported balance After 2026-04-20 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2022-09-27. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote3,975,722 Reported balance After 2022-09-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2020-09-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy RTW2,668,913 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 rows

Row 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 securityIndirectBy RTW0 Reported balance After 2020-09-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2023-03-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Shares, no par value ("Common Shares")SEC Table I · non-derivativeIndirectSee footnote3,256,102 Reported balance After 2023-03-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2021-03-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy RTW3,264,031 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 rows

Row 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 securityIndirectBy RTW0 Reported balance After 2021-03-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy RTW0 Reported balance After 2021-03-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2023-04-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.0001 per share ("Common Stock")SEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2022-12-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 securityIndirectSee footnote0 Reported balance After 2022-12-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2019-12-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy RTW1,139,358 Reported balance After 2019-12-17 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 WONG RODERICK

Section 16 reporting ended · disclosed 2021-05-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy RTW2,013,601 Reported balance After 2021-05-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 02, 2021 Filed Sep 7, 2021 21:05 UTC Renovacor, Inc. RCOR · Entity 114644 PurchaseCommon Stock, par value $0.0001 per share 800,000 $10.00 $8,000,000.00
Disclosure

SEC source: 0000919574-21-005731 · 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: 2,187,540

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 common stock (the "Shares") held by RTW Master Fund, Ltd. and one or more other private funds (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 held by the Adviser and is therefore deemed to be a beneficial owner of securities owned or controlled by the Adviser. Each of the Adviser 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
August 27, 2021 Filed Aug 31, 2021 23:11 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 GrantCommon Stock 812,516 $32.48 $26,390,519.68
Disclosure

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

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

Yalamanchi Naveen · CIK 0001725743 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 16,272,635

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

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

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

Read SEC document
August 04, 2021 Filed Aug 6, 2021 15:20 UTC Avidity Biosciences, Inc. RNA · Entity 11854 PurchaseCommon Stock 800,000 $18.00 $14,400,000.00
Disclosure

SEC source: 0001826466-21-000107 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · MP and CIO

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 4,795,000

F1 · ownership.nature: 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.

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May 21, 2021 Filed May 24, 2021 20:49 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchasePre-Funded Warrant · Derivative 910,746 $5.48 Strike: $0.01 $4,990,888.08
Disclosure

SEC source: 0001493152-21-012718 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 8,518,257

Underlying: Common Stock · 910,746 shares

Expires not disclosed

F2 · security: Each pre-funded warrant represents the right to acquire one share of common stock for an exercise price of $0.01 per share. The ability of the holder to exercise the pre-funded warrant is subject to a beneficial ownership limitation initially set at 9.99% of the Company's issued and outstanding common stock. This beneficial ownership limitation may be increased or decreased at the election of the warrant holder, provided that any increase shall not be effective until the 61st day after notice of adjustment is provided to the Company.

F3 · derivative.expiration_date: The warrants do not have an expiration date.

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
May 11, 2021 Filed May 13, 2021 23:49 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherEquity Swap (Obligation to Buy) 1) · Derivative 1 Not disclosed Strike: $40.03 Not disclosed
Disclosure

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

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

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

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

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

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

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

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May 11, 2021 Filed May 13, 2021 23:49 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 SaleCommon Stock 725,000 $40.03 $29,023,490.00
Disclosure

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

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 15,460,119

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

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

Read SEC document
May 07, 2021 Filed May 8, 2021 00:01 UTC Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 SaleCommon Stock 450,000 $29.98 $13,491,000.00
Disclosure

SEC source: 0001493152-21-010811 · 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 · By RTW

Disclosed balance after: 2,013,601

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 24, 2021 Filed Mar 30, 2021 00:01 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 OtherCommon Stock 1,344,925 Not disclosed Not disclosed
Disclosure

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

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,185,119

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

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

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

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March 16, 2021 Filed Mar 16, 2021 23:57 UTC Prometheus Biosciences, Inc. RXDX · Entity 112175 ConversionSeries D-2 Preferred Stock · Derivative 14,462,623 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-006147 · ownership.xml · derivative · entry 5

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 · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 1,446,262 shares

Expires not disclosed

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.

F4 · derivative.exercise_price: 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.

F4 · shares: 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.

F4 · price: 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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

Read SEC document
March 16, 2021 Filed Mar 16, 2021 23:57 UTC Prometheus Biosciences, Inc. RXDX · Entity 112175 ConversionSeries D-1 Preferred Stock · Derivative 10,177,703 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-006147 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 1,017,769 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: 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.

F3 · shares: 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.

F3 · price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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

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March 16, 2021 Filed Mar 16, 2021 23:57 UTC Prometheus Biosciences, Inc. RXDX · Entity 112175 ConversionCommon Stock 1,446,262 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-006147 · 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 · By RTW

Disclosed balance after: 3,264,031

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.

F4 · price: 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 · balance_after: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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

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March 16, 2021 Filed Mar 16, 2021 23:57 UTC Prometheus Biosciences, Inc. RXDX · Entity 112175 ConversionCommon Stock 1,017,769 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-006147 · 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 · By RTW

Disclosed balance after: 1,817,769

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.

F3 · price: 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 · balance_after: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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

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March 16, 2021 Filed Mar 16, 2021 23:57 UTC Prometheus Biosciences, Inc. RXDX · Entity 112175 PurchaseCommon Stock 800,000 $19.00 $15,200,000.00
Disclosure

SEC source: 0001493152-21-006147 · 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 · By RTW

Disclosed balance after: 800,000

F1 · balance_after: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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

Read SEC document
February 08, 2021 Filed Feb 8, 2021 14:45 UTC Landos Biopharma, Inc. LABP · Entity 90644 ConversionSeries B Preferred Stock · Derivative 3,650,722 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-002881 · ownership.xml · derivative · entry 3

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

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 · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 3,650,722 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each share of the Issuer's Series B preferred stock automatically converted into 1.8249 shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series B preferred stock had no expiration date.

F3 · shares: Each share of the Issuer's Series B preferred stock automatically converted into 1.8249 shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series B preferred stock had no expiration date.

F3 · price: Each share of the Issuer's Series B preferred stock automatically converted into 1.8249 shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series B preferred stock had no expiration date.

F3 · derivative.exercise_date: Each share of the Issuer's Series B preferred stock automatically converted into 1.8249 shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series B preferred stock had no expiration date.

F3 · derivative.expiration_date: Each share of the Issuer's Series B preferred stock automatically converted into 1.8249 shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series B preferred stock had no expiration date.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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 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 RTW Funds, except to the extent of its or his pecuniary interest therein.

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February 08, 2021 Filed Feb 8, 2021 14:45 UTC Landos Biopharma, Inc. LABP · Entity 90644 ConversionCommon Stock 3,650,722 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-002881 · ownership.xml · nonDerivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

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 · By RTW

Disclosed balance after: 4,275,722

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.

F3 · price: Each share of the Issuer's Series B preferred stock automatically converted into 1.8249 shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series B preferred stock had no expiration date.

F1 · balance_after: 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").

F4 · balance_after: Reflects a 1.8249-for-1 stock split of the Issuer's common stock effected on January 29, 2021.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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 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 RTW Funds, except to the extent of its or his pecuniary interest therein.

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February 04, 2021 Filed Feb 8, 2021 14:45 UTC Landos Biopharma, Inc. LABP · Entity 90644 PurchaseCommon Stock 625,000 $16.00 $10,000,000.00
Disclosure

SEC source: 0001493152-21-002881 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

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 · By RTW

Disclosed balance after: 625,000

F1 · balance_after: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by 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 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 RTW Funds, except to the extent of its or his pecuniary interest therein.

Read SEC document
January 26, 2021 Filed Nov 8, 2022 22:19 UTC DermTech, Inc. DMTK · Entity 89998 OtherWarrants to Purchase Common Stock · Derivative 31,450 $9.54 Strike: $9.54 $300,033.00
Disclosure

SEC source: 0000902664-22-004774 · ownership.xml · derivative · 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: 0

Underlying: Common Stock · 31,450 shares

Expires 2021-03-07

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.

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January 26, 2021 Filed Nov 8, 2022 22:19 UTC DermTech, Inc. DMTK · Entity 89998 OtherCommon Stock 31,450 $9.54 $300,033.00
Disclosure

SEC source: 0000902664-22-004774 · 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: 3,118,666

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.

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January 07, 2021 Filed Jan 11, 2021 23:04 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 200,000 $29.50 $5,900,000.00
Disclosure

SEC source: 0001493152-21-000788 · 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 · By RTW

Disclosed balance after: 3,087,216

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
December 10, 2020 Filed Dec 15, 2020 00:19 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 PurchaseCommon Stock 247,720 $56.00 $13,872,320.00
Disclosure

SEC source: 0001493152-20-023575 · ownership.xml · nonDerivative · entry 1

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 17,530,044

F1 · ownership.nature: Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $56.00 per share.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd., RTW Special Purpose Fund II, LLC and RTW Venture Fund Limited, which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or his pecuniary interest therein. The shares reported above exclude (i) 82,391 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016 (the "Yalamanchi Trust"); and (ii) 31,250 shares of common stock indirectly beneficially held by Dr. Yalamanchi through and previously gifted to the Yalamanchi Family Foundation by the Yalamanchi Trust.

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October 27, 2020 Filed Oct 29, 2020 18:01 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchasePre-Funded Warrant · Derivative 952,380 $5.24 Strike: $0.01 $4,990,471.20
Disclosure

SEC source: 0001493152-20-020101 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 7,607,511

Underlying: Common Stock · 952,380 shares

Expires not disclosed

F2 · security: Each pre-funded warrant represents the right to acquire one share of common stock for an exercise price of $0.01 per share. The ability of the holder to exercise the pre-funded warrant is subject to a beneficial ownership limitation initially set at 9.99% of the Company's issued and outstanding common stock. This beneficial ownership limitation may be increased or decreased at the election of the warrant holder, provided that any increase shall not be effective until the 61st day after notice of adjustment is provided to the Company.

F3 · derivative.expiration_date: The warrants do not have an expiration date.

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 21:03 UTC LeonaBio, Inc. ATHA · Entity 1487 ConversionSeries B Convertible Preferred Stock · Derivative 1,535,131 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-20-018188 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 1,535,131 shares

Expires not disclosed

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 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 21:03 UTC LeonaBio, Inc. ATHA · Entity 1487 PurchaseCommon Stock 750,000 $17.00 $12,750,000.00
Disclosure

SEC source: 0001493152-20-018188 · 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 · By RTW

Disclosed balance after: 2,668,913

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 21:03 UTC LeonaBio, Inc. ATHA · Entity 1487 ConversionCommon Stock 1,535,131 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-20-018188 · 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 · By RTW

Disclosed balance after: 1,918,913

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 · price: 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 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 17:03 UTC DermTech, Inc. DMTK · Entity 89998 OtherWarrant to Purchase Common Stock · Derivative 31,450 $9.54 Strike: $9.54 $300,033.00
Disclosure

SEC source: 0001493152-20-016262 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 31,450

Underlying: Common Stock · 31,450 shares

Expires 2020-09-25

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 17:03 UTC DermTech, Inc. DMTK · Entity 89998 OtherCommon Stock 31,450 $9.54 $300,033.00
Disclosure

SEC source: 0001493152-20-016262 · 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 · By RTW

Disclosed balance after: 2,887,216

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
July 22, 2020 Filed Jul 24, 2020 18:05 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchasePre-Funded Warrant · Derivative 6,655,131 $3.75 Strike: $0.01 $24,956,741.25
Disclosure

SEC source: 0001493152-20-013937 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 6,655,131

Underlying: Common Stock · 6,655,131 shares

Expires not disclosed

F2 · security: Each pre-funded warrant represents the right to acquire one share of common stock for an exercise price of $0.01 per share. The ability of the holder to exercise the pre-funded warrant is subject to a beneficial ownership limitation initially set at 9.99% of the Company's issued and outstanding common stock. This beneficial ownership limitation may be increased or decreased at the election of the warrant holder, provided that any increase shall not be effective until the 61st day after notice of adjustment is provided to the Company.

F3 · derivative.expiration_date: The warrants do not have an expiration date.

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
June 16, 2020 Filed Jun 16, 2020 20:28 UTC Avidity Biosciences, Inc. RNA · Entity 11854 ConversionSeries C Preferred Stock · Derivative 6,423,431 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-036979 · doc4.xml · derivative · entry 3

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

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 · By RTW Investments, LP

Disclosed balance after: 0

Underlying: Common Stock · 3,045,000 shares

Expires not disclosed

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 · derivative.exercise_price: The shares of the Issuer's Series C Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of one-for-2.1095 shares, immediately prior to the consummation of the Issuer's initial public offering.

F1 · price: The shares of the Issuer's Series C Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of one-for-2.1095 shares, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series C Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of one-for-2.1095 shares, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series C Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of one-for-2.1095 shares, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: The reported securities are held directly by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), and 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 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.

Read SEC document
June 16, 2020 Filed Jun 16, 2020 20:28 UTC Avidity Biosciences, Inc. RNA · Entity 11854 PurchaseCommon Stock 950,000 $18.00 $17,100,000.00
Disclosure

SEC source: 0001209191-20-036979 · doc4.xml · nonDerivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

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 · By RTW Investments, LP

Disclosed balance after: 3,995,000

F2 · ownership.nature: The reported securities are held directly by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), and 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 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.

Read SEC document
June 16, 2020 Filed Jun 16, 2020 20:28 UTC Avidity Biosciences, Inc. RNA · Entity 11854 ConversionCommon Stock 3,045,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-036979 · doc4.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

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 · By RTW Investments, LP

Disclosed balance after: 3,045,000

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 · price: The shares of the Issuer's Series C Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of one-for-2.1095 shares, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: The reported securities are held directly by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), and 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 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.

Read SEC document
June 11, 2020 Filed Aug 6, 2021 15:20 UTC Avidity Biosciences, Inc. RNA · Entity 11854 ConversionSeries C Preferred Stock · Derivative 3,995,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001826466-21-000107 · ownership.xml · derivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · MP and CIO

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 3,995,000 shares

Expires not disclosed

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

F2 · derivative.exercise_price: 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.

F2 · price: 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.

F2 · derivative.exercise_date: 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.

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

Read SEC document
May 27, 2020 Filed May 29, 2020 18:21 UTC DermTech, Inc. DMTK · Entity 89998 ConversionSeries B-1 Preferred shares · Derivative 228.4963 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-20-010108 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 228,498 shares

Expires not disclosed

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 · derivative.exercise_price: Pursuant to the Issuer's Form 8-K, as filed with the Securities Exchange Commission on May 27, 2020, each share of the Issuer's Series B-1 Preferred Stock automatically converted into 1,000 shares of the Issuer's common stock on May 27, 2020.

F1 · shares: Pursuant to the Issuer's Form 8-K, as filed with the Securities Exchange Commission on May 27, 2020, each share of the Issuer's Series B-1 Preferred Stock automatically converted into 1,000 shares of the Issuer's common stock on May 27, 2020.

F1 · price: Pursuant to the Issuer's Form 8-K, as filed with the Securities Exchange Commission on May 27, 2020, each share of the Issuer's Series B-1 Preferred Stock automatically converted into 1,000 shares of the Issuer's common stock on May 27, 2020.

F1 · derivative.exercise_date: Pursuant to the Issuer's Form 8-K, as filed with the Securities Exchange Commission on May 27, 2020, each share of the Issuer's Series B-1 Preferred Stock automatically converted into 1,000 shares of the Issuer's common stock on May 27, 2020.

F1 · derivative.expiration_date: Pursuant to the Issuer's Form 8-K, as filed with the Securities Exchange Commission on May 27, 2020, each share of the Issuer's Series B-1 Preferred Stock automatically converted into 1,000 shares of the Issuer's common stock on May 27, 2020.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
May 27, 2020 Filed May 29, 2020 18:21 UTC DermTech, Inc. DMTK · Entity 89998 ConversionCommon Stock 228,498 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-20-010108 · 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 · By RTW

Disclosed balance after: 2,855,766

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 · price: Pursuant to the Issuer's Form 8-K, as filed with the Securities Exchange Commission on May 27, 2020, each share of the Issuer's Series B-1 Preferred Stock automatically converted into 1,000 shares of the Issuer's common stock on May 27, 2020.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
April 01, 2020 Filed Apr 1, 2020 21:05 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 26,539 $10.41 $276,316.11
Disclosure

SEC source: 0001493152-20-005632 · 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 · By RTW

Disclosed balance after: 2,627,268

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 31, 2020 Filed Apr 1, 2020 21:05 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 5,000 $11.26 $56,321.00
Disclosure

SEC source: 0001493152-20-005632 · 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 · By RTW

Disclosed balance after: 2,600,729

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 19, 2020 Filed Mar 19, 2020 21:44 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchaseCommon Shares 5,870 $10.87 $63,803.97
Disclosure

SEC source: 0001493152-20-004365 · 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 · By RTW

Disclosed balance after: 4,315,102

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 18, 2020 Filed Mar 19, 2020 21:44 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchaseCommon Shares 2,705 $10.36 $28,028.67
Disclosure

SEC source: 0001493152-20-004365 · 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 · By RTW

Disclosed balance after: 4,309,232

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 05, 2020 Filed Mar 5, 2020 22:10 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 23,955 $14.61 $350,087.95
Disclosure

SEC source: 0001493152-20-003458 · 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 · By RTW

Disclosed balance after: 2,595,729

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 04, 2020 Filed Mar 5, 2020 22:10 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 4,447 $14.75 $65,593.25
Disclosure

SEC source: 0001493152-20-003458 · 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 · By RTW

Disclosed balance after: 2,571,774

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 03, 2020 Filed Mar 5, 2020 22:10 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 13,000 $14.52 $188,713.20
Disclosure

SEC source: 0001493152-20-003458 · 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 · By RTW

Disclosed balance after: 2,567,327

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 02, 2020 Filed Mar 3, 2020 16:09 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 15,000 $12.83 $192,427.50
Disclosure

SEC source: 0001493152-20-003252 · 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 · By RTW

Disclosed balance after: 2,554,327

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
March 02, 2020 Filed Mar 19, 2020 20:40 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchaseCommon Shares 78,263 $18.95 $1,483,083.85
Disclosure

SEC source: 0001493152-20-004347 · 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 · By RTW

Disclosed balance after: 4,306,527

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 16:09 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseSeries B-1 Preferred shares · Derivative 228.4963 $10,500.00 $2,399,211.15
Disclosure

SEC source: 0001493152-20-003252 · ownership.xml · derivative · 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 · By RTW

Disclosed balance after: 228.4963

Underlying: Common Stock · 228,496.3 shares

Expires not disclosed

F1 · derivative.exercise_price: On February 28, 2020 the Issuer entered into a definitive securities purchase agreement with certain institutional investors (the "Private Placement"). The Private Placement consists of 2,467,724 shares of common stock at a price of $10.50 per share and approximately 3,199 and 524 shares of Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock, respectively, each at a price of $10,500.00 per share. Each share of Series B-1 Convertible Preferred Stock will automatically convert into 1,000 shares of the Issuer's common stock upon the approval of the Private Placement by the stockholders of the Issuer, which the Issuer has agreed to seek at a meeting to be held on or before June 30, 2020 ("Stockholder Approval"). The 152,456 shares of common stock and 228.4963 Series B-1 Preferred shares reported herein were acquired pursuant to the Private Placement.

F1 · shares: On February 28, 2020 the Issuer entered into a definitive securities purchase agreement with certain institutional investors (the "Private Placement"). The Private Placement consists of 2,467,724 shares of common stock at a price of $10.50 per share and approximately 3,199 and 524 shares of Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock, respectively, each at a price of $10,500.00 per share. Each share of Series B-1 Convertible Preferred Stock will automatically convert into 1,000 shares of the Issuer's common stock upon the approval of the Private Placement by the stockholders of the Issuer, which the Issuer has agreed to seek at a meeting to be held on or before June 30, 2020 ("Stockholder Approval"). The 152,456 shares of common stock and 228.4963 Series B-1 Preferred shares reported herein were acquired pursuant to the Private Placement.

F1 · derivative.exercise_date: On February 28, 2020 the Issuer entered into a definitive securities purchase agreement with certain institutional investors (the "Private Placement"). The Private Placement consists of 2,467,724 shares of common stock at a price of $10.50 per share and approximately 3,199 and 524 shares of Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock, respectively, each at a price of $10,500.00 per share. Each share of Series B-1 Convertible Preferred Stock will automatically convert into 1,000 shares of the Issuer's common stock upon the approval of the Private Placement by the stockholders of the Issuer, which the Issuer has agreed to seek at a meeting to be held on or before June 30, 2020 ("Stockholder Approval"). The 152,456 shares of common stock and 228.4963 Series B-1 Preferred shares reported herein were acquired pursuant to the Private Placement.

F1 · derivative.expiration_date: On February 28, 2020 the Issuer entered into a definitive securities purchase agreement with certain institutional investors (the "Private Placement"). The Private Placement consists of 2,467,724 shares of common stock at a price of $10.50 per share and approximately 3,199 and 524 shares of Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock, respectively, each at a price of $10,500.00 per share. Each share of Series B-1 Convertible Preferred Stock will automatically convert into 1,000 shares of the Issuer's common stock upon the approval of the Private Placement by the stockholders of the Issuer, which the Issuer has agreed to seek at a meeting to be held on or before June 30, 2020 ("Stockholder Approval"). The 152,456 shares of common stock and 228.4963 Series B-1 Preferred shares reported herein were acquired pursuant to the Private Placement.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 16:09 UTC DermTech, Inc. DMTK · Entity 89998 PurchaseCommon Stock 152,456 $10.50 $1,600,788.00
Disclosure

SEC source: 0001493152-20-003252 · 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 · By RTW

Disclosed balance after: 2,539,327

F1 · shares: On February 28, 2020 the Issuer entered into a definitive securities purchase agreement with certain institutional investors (the "Private Placement"). The Private Placement consists of 2,467,724 shares of common stock at a price of $10.50 per share and approximately 3,199 and 524 shares of Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock, respectively, each at a price of $10,500.00 per share. Each share of Series B-1 Convertible Preferred Stock will automatically convert into 1,000 shares of the Issuer's common stock upon the approval of the Private Placement by the stockholders of the Issuer, which the Issuer has agreed to seek at a meeting to be held on or before June 30, 2020 ("Stockholder Approval"). The 152,456 shares of common stock and 228.4963 Series B-1 Preferred shares reported herein were acquired pursuant to the Private Placement.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

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January 13, 2020 Filed Jan 13, 2020 22:07 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchaseCommon Shares 270,000 $16.25 $4,387,500.00
Disclosure

SEC source: 0001493152-20-000524 · 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 · By RTW

Disclosed balance after: 4,228,264

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

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December 31, 2019 Filed Jan 2, 2020 21:26 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchaseCommon Shares 21,438 $15.50 $332,340.45
Disclosure

SEC source: 0001493152-20-000046 · 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 · By RTW

Disclosed balance after: 3,958,264

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

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December 30, 2019 Filed Jan 2, 2020 21:26 UTC Milestone Pharmaceuticals Inc. MIST · Entity 6561 PurchaseCommon Shares 1,333 $15.48 $20,637.77
Disclosure

SEC source: 0001493152-20-000046 · 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 · By RTW

Disclosed balance after: 3,936,826

F1 · price: This transaction was executed in multiple trades at prices ranging from $15.4350 to $15.4958. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

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December 17, 2019 Filed Dec 18, 2019 23:07 UTC TELA Bio, Inc. TELA · Entity 7381 SaleCommon Stock 36,000 $11.32 $407,617.20
Disclosure

SEC source: 0001493152-19-019419 · 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 · By RTW

Disclosed balance after: 1,139,358

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

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December 13, 2019 Filed Dec 17, 2019 22:01 UTC TELA Bio, Inc. TELA · Entity 7381 PurchaseCommon Stock 23,900 $11.60 $277,120.50
Disclosure

SEC source: 0001493152-19-019380 · 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 · By RTW

Disclosed balance after: 1,175,358

F1 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW 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.

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December 10, 2019 Filed Dec 12, 2019 20:43 UTC ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 PurchaseCommon Stock 225,000 $22.25 $5,006,250.00
Disclosure

SEC source: 0001493152-19-019095 · ownership.xml · nonDerivative · entry 1

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

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 17,282,324

F1 · ownership.nature: Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $22.25 per share. The Offering is expected to close on December 13, 2019.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd., RTW Special Purpose Fund II, LLC and RTW Venture Fund Limited, which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or his pecuniary interest therein. The shares reported above exclude 113,641 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.