| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| 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 |
| holding | ROIV | Common Shares | 1.76M | Mar 7, 2024 | Direct | F3 |
| Id | Content |
|---|---|
| F1 | On March 7, 2024, each of QVT Roiv Hldgs Onshore Ltd. (together, "QVT Roiv"), 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 | The reporting person is a shareholder of each of QVT Roiv, QVT DCH, QVT P&E and QVT FIC (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. 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. |
| F3 | Includes shares reporting person received as part of the distribution described in (1) above, which is exempted under both Rule 16a-9 and Rule 16a-13 as a change in form of beneficial ownership and (i) an annual award of restricted stock units with respect to Common Shares ("RSUs") granted pursuant to the Company's 2021 Equity Incentive Plan and the Company's Non-Employee Director Compensation Policy (the "Equity Plan"), which vested on September 15, 2023 and (ii) an annual award of restricted stock units with respect to RSU granted pursuant to the Equity Plan, which is scheduled to vest 100% on September 12, 2024, subject generally to the reporting person's continuous service through such date. |