Daniel Allen Gold - 01 Oct 2021 Form 3 Insider Report for Roivant Sciences Ltd. (ROIV)

Role
Director
Signature
By: /s/ Jo Chen, as Attorney-in-Fact for Daniel Gold
Issuer symbol
ROIV
Transactions as of
01 Oct 2021
Net transactions value
$0
Form type
3
Filing time
01 Oct 2021, 17:47:05 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
holding ROIV Common Shares 39,658,939 01 Oct 2021 Held by QVT Roiv Hldgs Offshore Ltd. F2, F3
holding ROIV Common Shares 13,908,356 01 Oct 2021 Held by QVT Roiv Hldgs Onshore Ltd. F2, F3
holding ROIV Common Shares 30,321,987 01 Oct 2021 Held by QVT Deferred Compensation Holdings Ltd. F2, F4
holding ROIV Common Shares 5,616,260 01 Oct 2021 Held by QVT P&E Roiv Hldgs Ltd. F2, F4
holding ROIV Common Shares 39,778,514 01 Oct 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