QVT Financial LP - Mar 7, 2024 Form 4 Insider Report for Roivant Sciences Ltd. (ROIV)

Role
Director by Deputization, 10%+ Owner
Signature
/s/ Meg Eisner
Stock symbol
ROIV
Transactions as of
Mar 7, 2024
Transactions value $
$0
Form type
4
Date filed
3/7/2024, 05:53 PM
Previous filing
Oct 2, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROIV Common Shares Other $0 -45.4K -45% $0.00 55.4K Mar 7, 2024 Held by Fourth Avenue Capital Partners LP F1, F2, F3
transaction ROIV Common Shares Other $0 -11.1M -43.06% $0.00 14.6M Mar 7, 2024 Held by QVT Deferred Compensation Holdings Ltd. F1, F2, F3
transaction ROIV Common Shares Other $0 -11.3M -32.89% $0.00 23.1M Mar 7, 2024 Held by QVT Financial Investment Cayman Ltd. F1, F2, F3
transaction ROIV Common Shares Other $0 -15.5M -44.55% $0.00 19.3M Mar 7, 2024 Held by QVT Roiv Hldgs Offshore Ltd F1, F2, F4
transaction ROIV Common Shares Other $0 -5.59M -45% $0.00 6.84M Mar 7, 2024 Held by QVT Roiv Hldgs Onshore Ltd. F1, F2, F4
transaction ROIV Common Shares Other $0 -2.26M -45% $0.00 2.76M Mar 7, 2024 Held by QVT P&E Roiv Hldgs Ltd. F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On March 7, 2024, each of 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") made an in-kind distribution on a pro rata basis, for no consideration.
F2 Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 66,719,779 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv, Fourth Avenue, QVT P&E, QVT DCH and 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.
F3 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, 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.
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. QVT disclaims beneficial ownership of such Shares, except to the extent of any 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.