<SEC-DOCUMENT>0001140361-18-044107.txt : 20181129
<SEC-HEADER>0001140361-18-044107.hdr.sgml : 20181129
<ACCEPTANCE-DATETIME>20181129180203
ACCESSION NUMBER:		0001140361-18-044107
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20181127
FILED AS OF DATE:		20181129
DATE AS OF CHANGE:		20181129

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			WONG RODERICK
		CENTRAL INDEX KEY:			0001493280

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36829
		FILM NUMBER:		181209403

	MAIL ADDRESS:	
		STREET 1:		412 WEST 15TH STREET
		STREET 2:		9TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			RTW INVESTMENTS, LP
		CENTRAL INDEX KEY:			0001493215
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36829
		FILM NUMBER:		181209404

	BUSINESS ADDRESS:	
		STREET 1:		412 WEST 15TH STREET
		STREET 2:		9TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10011
		BUSINESS PHONE:		646-597-6980

	MAIL ADDRESS:	
		STREET 1:		412 WEST 15TH STREET
		STREET 2:		9TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10011

	FORMER NAME:	
		FORMER CONFORMED NAME:	RTW INVESTMENTS, LLC
		DATE OF NAME CHANGE:	20100602

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Yalamanchi Naveen
		CENTRAL INDEX KEY:			0001725743

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36829
		FILM NUMBER:		181209405

	MAIL ADDRESS:	
		STREET 1:		412 WEST 15TH STREET
		STREET 2:		9TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			ROCKET PHARMACEUTICALS, INC.
		CENTRAL INDEX KEY:			0001281895
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		430 EAST 29TH STREET
		STREET 2:		SUITE 1040
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10016
		BUSINESS PHONE:		646-440-9100

	MAIL ADDRESS:	
		STREET 1:		430 EAST 29TH STREET
		STREET 2:		SUITE 1040
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10016

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	INOTEK PHARMACEUTICALS CORP
		DATE OF NAME CHANGE:	20040226
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
<FILENAME>form4.xml
<DESCRIPTION>FORM 4
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2018-11-27</periodOfReport>

    <issuer>
        <issuerCik>0001281895</issuerCik>
        <issuerName>ROCKET PHARMACEUTICALS, INC.</issuerName>
        <issuerTradingSymbol>RCKT</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001493280</rptOwnerCik>
            <rptOwnerName>WONG RODERICK</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>412 W 15TH STREET, FLOOR 9</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10011</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>true</isDirector>
            <isTenPercentOwner>true</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001493215</rptOwnerCik>
            <rptOwnerName>RTW INVESTMENTS, LP</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>412 W 15TH STREET, FLOOR 9</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10011</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>true</isDirector>
            <isTenPercentOwner>true</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001725743</rptOwnerCik>
            <rptOwnerName>Yalamanchi Naveen</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O RTW INVESTMENTS, LP</rptOwnerStreet1>
            <rptOwnerStreet2>412 W 15TH STREET, FLOOR 9</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10011</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>true</isDirector>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2018-11-27</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>967742</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>15.5</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>16407319</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>By RTW</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
    </nonDerivativeTable>

    <footnotes>
        <footnote id="F1">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.</footnote>
        <footnote id="F2">The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP (&quot;RTW&quot;), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd. and RTW Special Purpose Fund I, LLC (collectively, the &quot;Funds&quot;), 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.</footnote>
        <footnote id="F3">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. Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of 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.</footnote>
    </footnotes>

    <remarks>Roderick Wong, the Managing Partner and Chief Investment Officer of RTW Investments, LP, is the Chairman of the Issuer's Board of Directors. Additionally, Naveen Yalamanchi, who serves as a Partner and Portfolio Manager of RTW Investments, LP, also serves as a director of the Issuer. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, RTW Investments, LP and its managed investment funds are collectively deemed to be a director by deputization by virtue of the service of Drs. Wong and Yalamanchi on the Issuer's Board of Directors. Consistent with this determination, the Issuer's Board of Directors has acknowledged that RTW Investments, LP and its managed investment funds are collectively deemed to be a director by deputization.</remarks>

    <ownerSignature>
        <signatureName>/s/ Alice Lee, attorney-in-fact for Roderick Wong</signatureName>
        <signatureDate>2018-11-29</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>RTW Investments, LP; By: /s/ Alice Lee, attorney-in-fact for RTW Investments, LP</signatureName>
        <signatureDate>2018-11-29</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Alice Lee, attorney-in-fact for Naveen Yalamanchi</signatureName>
        <signatureDate>2018-11-29</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
