RTW INVESTMENTS, LP reported 6 transactions at ROCKET PHARMACEUTICALS, INC.
Review the transaction codes below to understand the nature of each event.
Common Stock
Shares
+1M
Price / share
$40.03
Trade value
$40.03M
% of position
Common Stock
Shares
−1M
Price / share
$3.10
Trade value
$3.10M
% of position
Common Stock
Shares
+41K
Price / share
$19.09
Trade value
$782.76K
% of position
Common Stock
Shares
−41K
Price / share
$3.10
Trade value
$127.31K
% of position
Common Stock
Shares
+59K
Price / share
$17.81
Trade value
$1.05M
% of position
Common Stock
Shares
−59K
Price / share
$3.10
Trade value
$183.19K
% of position
Net shares
+0.00
Net value
$38.45M
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Indirect | 9/19/2025 | X · X | +1M | $40.03 | $40.03M | 5.5% | 18.19M | 19.19M |
| Common Stock Indirect | 9/19/2025 | J · J | −1M | $3.10 | $3.10M | 5.2% | 19.19M | 18.19M |
| Common Stock Indirect | 9/19/2025 | X · X | +41K | $19.09 | $782.76K | 0.2% | 18.19M | 18.23M |
| Common Stock Indirect | 9/19/2025 | J · J | −41K | $3.10 | $127.31K | 0.2% | 18.23M | 18.19M |
| Common Stock Indirect | 9/19/2025 | X · X | +59K | $17.81 | $1.05M | 0.3% | 18.19M | 18.25M |
| Common Stock Indirect | 9/19/2025 | J · J | −59K | $3.10 | $183.19K | 0.3% | 18.25M | 18.19M |
| Total | +0.00 | $38.45M | ||||||
Equity Swap (obligation to buy)
Common Stock
1M shares
Shares
−1.00
Strike price
40.0324
Held after
0.00
Exercisable
—
Equity Swap (obligation to buy)
Common Stock
41K shares
Shares
−1.00
Strike price
19.0916
Held after
0.00
Exercisable
—
Equity Swap (obligation to buy)
Common Stock
59K shares
Shares
−1.00
Strike price
17.8112
Held after
0.00
Exercisable
—
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Equity Swap (obligation to buy) Indirect | Common Stock1M shares | 9/19/2025 | X · X | −1.00 | 40.0324 | — | 0.00 |
| Equity Swap (obligation to buy) Indirect | Common Stock41K shares | 9/19/2025 | X · X | −1.00 | 19.0916 | — | 0.00 |
| Equity Swap (obligation to buy) Indirect | Common Stock59K shares | 9/19/2025 | X · X | −1.00 | 17.8112 | — | 0.00 |
Common Stock
Direct| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 47.67K | Direct |
| Total | 47.67K | 47.67K direct |