Daniel Allen Gold - Oct 1, 2021 Form 3 Insider Report for Roivant Sciences Ltd. (ROIV)

Role
Director
Signature
By: /s/ Jo Chen, as Attorney-in-Fact for Daniel Gold
Stock symbol
ROIV
Transactions as of
Oct 1, 2021
Transactions value $
$0
Form type
3
Date filed
10/1/2021, 05:47 PM
Previous filing
Sep 20, 2021
Next filing
Dec 14, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ROIV Common Shares 110K Oct 1, 2021 Held by Fourth Avenue Capital Partners LP F1, F2
holding ROIV Common Shares 39.7M Oct 1, 2021 Held by QVT Roiv Hldgs Offshore Ltd. F2, F3
holding ROIV Common Shares 13.9M Oct 1, 2021 Held by QVT Roiv Hldgs Onshore Ltd. F2, F3
holding ROIV Common Shares 30.3M Oct 1, 2021 Held by QVT Deferred Compensation Holdings Ltd. F2, F4
holding ROIV Common Shares 5.62M Oct 1, 2021 Held by QVT P&E Roiv Hldgs Ltd. F2, F4
holding ROIV Common Shares 39.8M Oct 1, 2021 Held by QVT Financial Investment Cayman Ltd. F2, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 Roivant Sciences Ltd. common shares ("Shares") held directly by Fourth Avenue. Daniel Gold is a Managing Member of Fourth Avenue GP, sharing voting and investment control over the Shares held directly by Fourth Avenue and may be deemed to beneficially own such Shares.
F2 Daniel Gold disclaims any beneficial ownership in the Shares described herein, other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
F3 QVT Financial LP, a Delaware limited partnership, is the investment manager of QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. ("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. Daniel Gold is a Managing Member of QVT Financial GP, sharing voting and investment control over the Shares held directly by QVT Roiv and may be deemed to beneficially own such Shares.
F4 Daniel Gold 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 Shares held directly by QVT P&E and QVT DCH.
F5 Daniel Gold is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Shares held directly by QVT FIC.

Remarks:

Exhibit 24 - Power of Attorney