QVT Financial LP - 01 Oct 2021 Form 3 Insider Report for Roivant Sciences Ltd. (ROIV)

Role
Director by Deputization, 10%+ Owner
Signature
/s/ Meg Eisner
Issuer symbol
ROIV
Transactions as of
01 Oct 2021
Net transactions value
$0
Form type
3
Filing time
01 Oct 2021, 17:00:21 UTC
Previous filing
20 Sep 2021
Next filing
14 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ROIV Common Shares 109,761 01 Oct 2021 Held by Fourth Avenue Capital Partners LP F1, F2, F3
holding ROIV Common Shares 39,658,939 01 Oct 2021 Held by QVT Roiv Hldgs Offshore Ltd. F1, F4
holding ROIV Common Shares 13,908,356 01 Oct 2021 Held by QVT Roiv Hldgs Onshore Ltd. F1, F4
holding ROIV Common Shares 30,321,987 01 Oct 2021 Held by QVT Deferred Compensation Holdings Ltd. F1, F2
holding ROIV Common Shares 5,616,260 01 Oct 2021 Held by QVT P&E Roiv Hldgs Ltd. F1, F2
holding ROIV Common Shares 39,778,514 01 Oct 2021 Held by QVT Financial Investment Cayman Ltd. F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Aggregately, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 129,393,817 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.
F2 QVT provides certain investment advisory services for, and thereby may be deemed to beneficially own the Shares held by, Fourth Avenue, QVT P&E, QVT DCH and QVT FIC. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein.
F3 Management of Fourth Avenue is vested in its general partner, Fourth Avenue Capital Partners GP LLC, a Delaware limited liability company, which may be deemed to beneficially own the Shares held directly by Fourth Avenue.
F4 QVT is the investment manager of QVT Roiv, shares voting and investment control over the Shares held directly by QVT Roiv and therefore may be deemed to beneficially own such Shares.