Daniel Allen Gold - Sep 28, 2023 Form 4 Insider Report for Roivant Sciences Ltd. (ROIV)

Role
Director
Signature
/s/ Meg Eisner
Stock symbol
ROIV
Transactions as of
Sep 28, 2023
Transactions value $
-$115,500,000
Form type
4
Date filed
10/2/2023, 08:55 PM
Previous filing
Sep 14, 2023
Next filing
Mar 7, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROIV Common Shares Sale -$103K -8.96K -8.16% $11.55 101K Sep 28, 2023 Held by Fourth Avenue Capital Partners LP F1, F5
transaction ROIV Common Shares Sale -$26.4M -2.29M -8.16% $11.55 25.7M Sep 28, 2023 Held by QVT Deferred Compensation Holdings Ltd F1, F4
transaction ROIV Common Shares Sale -$35.3M -3.06M -8.16% $11.55 34.4M Sep 28, 2023 Held by QVT Financial Investment Cayman Ltd. F1, F2
transaction ROIV Common Shares Sale -$35.7M -3.09M -8.16% $11.55 34.8M Sep 28, 2023 Held by QVT Roiv Hldgs Offshore Ltd F1, F3
transaction ROIV Common Shares Sale -$12.8M -1.1M -8.16% $11.55 12.4M Sep 28, 2023 Held by QVT Roiv Hldgs Onshore Ltd F1, F3
transaction ROIV Common Shares Sale -$5.16M -446K -8.16% $11.55 5.02M Sep 28, 2023 Held by QVT P&E Roiv Hldgs Ltd F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.
F2 The reporting person is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Common Shares held directly by QVT FIC.
F3 QVT Financial LP, a Delaware limited partnership, is the investment manager of QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), and shares voting and investment control over the Shares held directly by QVT Roiv. QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT Financial LP. The reporting person is a Managing Member of QVT Financial GP, sharing voting and investment control over the Common Shares held directly by QVT Roiv and may be deemed to beneficially own such Common Shares.
F4 The reporting person is one of two directors of QVT P&E Roiv Hldgs Ltd. ("QVT P&E") and QVT Deferred Compensation Holdings Ltd ("QVT DCH"), sharing voting and investment control over the Common Shares held directly by QVT P&E and QVT DCH.
F5 Management of Fourth Avenue Capital Partners LP is vested in its general partner, Fourth Avenue Capital Partners GP LLC, a Delaware limited liability company ("Fourth Avenue GP"), which may be deemed to beneficially own the Common Shares held directly by Fourth Avenue. Daniel Gold is a Managing Member of Fourth Avenue GP, sharing voting and investment control over the Common Shares held directly by Fourth Avenue and may be deemed to beneficially own such Common Shares.