Roivant Sciences Ltd. - Oct 18, 2021 Form 4 Insider Report for Arbutus Biopharma Corp (ABUS)

Role
10%+ Owner
Signature
/s/ Matt Maisak, Authorized Signatory
Stock symbol
ABUS
Transactions as of
Oct 18, 2021
Transactions value $
$0
Form type
4
Date filed
10/20/2021, 05:14 PM
Previous filing
Aug 2, 2021
Next filing
Oct 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ABUS Common shares, without par value Conversion of derivative security +22.8M +142.59% 38.8M Oct 18, 2021 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ABUS Series A participating convertible preferred shares Conversion of derivative security -1.16M -100% 0 Oct 18, 2021 Common shares 1.16M $7.13 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On October 18, 2021, 1,164,000 Series A participating convertible preferred shares of the Issuer held by the Reporting Person, which were previously acquired by the Reporting Person in two tranches in October 2017 and January 2018, mandatorily converted into 22,833,922 common shares, without par value (the "Common Shares"), of the Issuer, in accordance with their terms.
F2 Includes 16,013,540 Common Shares that were previously acquired by the Reporting Person in 2015.