<SEC-DOCUMENT>0001140361-18-043820.txt : 20181128
<SEC-HEADER>0001140361-18-043820.hdr.sgml : 20181128
<ACCEPTANCE-DATETIME>20181127183022
ACCESSION NUMBER:		0001140361-18-043820
CONFORMED SUBMISSION TYPE:	FWP
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20181128
DATE AS OF CHANGE:		20181127

SUBJECT COMPANY:	

	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

	FILING VALUES:
		FORM TYPE:		FWP
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	333-225896
		FILM NUMBER:		181203872

	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

FILED BY:		

	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

	FILING VALUES:
		FORM TYPE:		FWP

	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>FWP
<SEQUENCE>1
<FILENAME>s002554x5_fwp.htm
<DESCRIPTION>FWP
<TEXT>
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    <!-- Licensed to: Broadridge Financial Solutions, Inc.
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    <div style="text-align: right; font-family: 'Times New Roman'; font-size: 10pt; font-weight: bold;">Filed Pursuant to Rule 433</div>
    <div style="text-align: right;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Issuer Free Writing Prospectus dated November 27, 2018</font></div>
    <div style="text-align: right;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Relating to Preliminary Prospectus Supplement dated November 26, 2018</font></div>
    <div style="text-align: right;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Registration No. 333-225896</font></div>
    <div><br>
    </div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Rocket Pharmaceuticals, Inc.</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">3,550,000 Shares of Common Stock</font></div>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-style: italic;">The following information relates only to the securities described below and should be read together with the preliminary prospectus
        supplement dated November 26, 2018, including the documents incorporated by reference therein and the accompanying prospectus dated July 5, 2018 and the documents incorporated by reference therein relating to these securities. The following
        information supplements and updates the information contained in the preliminary prospectus supplement and accompanying prospectus.</font></div>
    <div><br>
    </div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">THE OFFERING</font></div>
    <div><br>
    </div>
    <table style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse;" id="z40dca0bd519c4180bd10d3be69b58ff8" cellpadding="0" cellspacing="0">

        <tr>
          <td style="width: 40.43%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Common Stock we are Offering Pursuant to this Prospectus Supplement</font></div>
          </td>
          <td style="width: 59.57%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman';">3,550,000 shares, excluding shares offered in the Private Placement (defined below)</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">&#160;</td>
          <td style="width: 59.57%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Public Offering Price</font></div>
          </td>
          <td style="width: 59.57%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman';">$15.50</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">&#160;</td>
          <td style="width: 59.57%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Common Stock to be Outstanding after this Offering</font></div>
          </td>
          <td style="width: 59.57%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman';">44,353,242 shares (or 44,885,742 shares if the underwriters exercise in full their option to purchase additional shares of common stock) which is
                based on an aggregate offering of 3,550,000 shares in this offering and the issuance of 967,742 shares in the Private Placement.</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">&#160;</td>
          <td style="width: 59.57%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Option to Purchase Additional Shares</font></div>
          </td>
          <td style="width: 59.57%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman';">We have granted the underwriters an option for a period of 30 days from the date of this prospectus supplement to purchase up to 532,500 additional
                shares of our common stock from us.</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">&#160;</td>
          <td style="width: 59.57%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">Concurrent Private Placement</font></div>
          </td>
          <td style="width: 59.57%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman';">RTW Investments, L.P., an affiliate of Roderick Wong, the Chairman of our Board of Directors, has agreed to purchase 967,742 shares of our common
                stock in a private placement under Section 4(a)(2) of the Securities Act of 1933 at a price equal to the public offering price of $15.50 (the &#8220;Private Placement&#8221;). The Private Placement is expected to close concurrently with the offering
                under the Prospectus Supplement.</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 40.43%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">&#160;</td>
          <td style="width: 59.57%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">&#160;</td>
        </tr>

    </table>
    <div>
      <div style="text-align: center;"><br>
      </div>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">The Issuer has filed a registration statement (including a prospectus dated July 5, 2018 and a preliminary prospectus supplement dated
        November 26, 2018) with the Securities and Exchange Commission, or SEC, for the offering to which this communication relates. Before you invest, you should read the prospectus in that registration statement, the preliminary prospectus supplement
        and other documents the Issuer has filed with the SEC for more complete information about the Issuer and this offering. You may get these documents for free by visiting EDGAR on the SEC website at www.sec.gov. Copies of the prospectus and the
        preliminary prospectus supplement may be obtained by contacting: BofA Merrill Lynch by telephone at (800) 294-1322; Cowen and Company, LLC, c/o Broadridge Financial Services, 1155 Long Island Avenue, Edgewood, NY 11717, Attention: Prospectus
        Department, or by telephone at (631) 274-2806; and Evercore Group L.L.C., Attention: Equity Capital Markets, 55 East 52nd Street, 36th Floor, New York, NY 10055, by telephone at 888-474-0200, or by email at ecm.prospectus@evercore.com. You may also
        obtain these documents free of charge by visiting the SEC&#8217;s website at www.sec.gov.</font></div>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman'; font-weight: bold;">This communication should be read in conjunction with the preliminary prospectus supplement dated November 26, 2018 and the accompanying
        prospectus. The information in this communication supersedes the information in the preliminary prospectus supplement and the accompanying prospectus to the extent inconsistent with the information in the preliminary prospectus supplement and the
        accompanying prospectus.</font></div>
    <div><br>
    </div>
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