| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROIV | Common Shares | Award | $0 | +52.1K | $0.00 | 52.1K | Sep 15, 2022 | Direct | F1 | |
| holding | ROIV | Common Shares | 110K | Sep 15, 2022 | Held by Fourth Avenue Capital Partners LP | F2, F3 | |||||
| holding | ROIV | Common Shares | 39.7M | Sep 15, 2022 | Held by QVT Roiv Hldgs Offshore Ltd. | F3, F4 | |||||
| holding | ROIV | Common Shares | 13.9M | Sep 15, 2022 | Held by QVT Roiv Hldgs Onshore Ltd. | F3, F4 | |||||
| holding | ROIV | Common Shares | 30.3M | Sep 15, 2022 | Held by QVT Deferred Compensation Holdings Ltd. | F3, F5 | |||||
| holding | ROIV | Common Shares | 5.62M | Sep 15, 2022 | Held by QVT P&E Roiv Hldgs Ltd. | F3, F5 | |||||
| holding | ROIV | Common Shares | 39.8M | Sep 15, 2022 | Held by QVT Financial Investment Cayman Ltd. | F3, F6 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROIV | Stock Option (Right to Buy) | Award | $0 | +71.9K | $0.00 | 71.9K | Sep 15, 2022 | Common Shares | 71.9K | $3.50 | Direct | F7 |
| Id | Content |
|---|---|
| F1 | Reflects 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 award of RSUs is scheduled to vest 100% on September 15, 2023, subject generally to the reporting person's continuous service through such date. |
| F2 | 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 held directly by Fourth Avenue. Daniel Gold is a Managing Member of Fourth Avenue GP, sharing voting and investment control over the Common Shares held directly by Fourth Avenue and may be deemed to beneficially own such Common Shares. |
| F3 | 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. |
| F4 | 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. The reporting person is a Managing Member of QVT Financial GP, sharing voting and investment control over the Common Shares held directly by QVT Roiv and may be deemed to beneficially own such Common Shares. |
| F5 | The reporting person 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 Common Shares held directly by QVT P&E and QVT DCH. |
| F6 | The reporting person is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Common Shares held directly by QVT FIC. |
| F7 | Reflects an annual award of stock options to purchase Common Shares granted pursuant to the Company's 2021 Equity Incentive Plan and the Company's Non-Employee Director Compensation Policy. The award of stock options is scheduled to vest and become exercisable 100% on September 15, 2023, subject generally to the reporting person's continuous service through such date. |