Item 1.01 Entry into a Material Definitive Agreement.
Exchange Agreement
On
The 2022 Notes to be issued in the exchange transaction will be issued as
additional notes pursuant to the Indenture, dated as of
The foregoing description of the Exchange Agreement does not purport to be
complete and is qualified in its entirety by reference to the form of the
Exchange Agreement, a copy of which was filed as Exhibit 10.1 to the Company's
Current Report on Form 8-K, filed with the
Item 3.02. Unregistered Sales of
The information set forth under Item 1.01 of this Current Report on Form 8-K regarding the exchange of the 2021 Notes is incorporated herein by reference.
Item 7.01 Regulation FD Disclosure.
On
The information included in this Item 7.01 and in Exhibit 99.1 attached hereto is being furnished and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall any such information or exhibits be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such document.
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Cautionary Notice Regarding Forward-Looking Statements
Various statements in this Current Report on Form 8-K concerning the Company's
future expectations, plans and prospects, including without limitation, the
Company's expectations with respect to the exchange transaction and regarding
its guidance for 2020 in light of COVID-19, the safety, effectiveness and timing
of product candidates that the Company may develop, to treat Fanconi Anemia
(FA), Leukocyte Adhesion Deficiency-I (LAD-I), Pyruvate Kinase Deficiency (PKD),
Infantile Malignant Osteopetrosis (IMO) and Danon Disease, and the safety,
effectiveness and timing of related pre-clinical studies and clinical trials,
may constitute forward-looking statements for the purposes of the safe harbor
provisions under the Private Securities Litigation Reform Act of 1995 and other
federal securities laws and are subject to substantial risks, uncertainties and
assumptions. You should not place reliance on these forward-looking statements,
which often include words such as "believe," "expect," "anticipate," "intend,"
"plan," "will give," "estimate," "seek," "will," "may," "suggest" or similar
terms, variations of such terms or the negative of those terms. Although the
Company believes that the expectations reflected in the forward-looking
statements are reasonable, the Company cannot guarantee such outcomes. Actual
results may differ materially from those indicated by these forward-looking
statements as a result of various important factors, including, without
limitation, the Company's ability to monitor the impact of COVID-19 on its
business operations and take steps to ensure the safety of patients, families
and employees, the interest from patients and families for participation in each
of the Company's ongoing trials, our expectations regarding when clinical trial
sites will resume normal business operations, our expectations regarding the
delays and impact of COVID-19 on clinical sites, patient enrollment, trial
timelines and data readouts, our expectations regarding our drug supply for our
ongoing and anticipated trials, actions of regulatory agencies, which may affect
the initiation, timing and progress of pre-clinical studies and clinical trials
of its product candidates, the Company's dependence on third parties for
development, manufacture, marketing, sales and distribution of product
candidates, the outcome of litigation, and unexpected expenditures, as well as
those risks more fully discussed in the section entitled "Risk Factors" in the
Company's Quarterly Report on Form 10-Q for the quarter ended
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No. Description 10.1 Form of Exchange Agreement (incorporated by reference to Exhibit 10.1 of the Company's Current Report on Form 8-K (001-36829), filed with theSEC onFebruary 11, 2020 ). 99.1 Press Release issued byRocket Pharmaceuticals, Inc. , datedJune 8, 2020 .
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