Daniel Allen Gold - 12 Sep 2023 Form 4 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
12 Sep 2023
Net transactions value
$0
Form type
4
Filing time
14 Sep 2023, 21:30:53 UTC
Previous filing
15 Dec 2022
Next filing
02 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROIV Common Shares Award $0 +17,825 +34% $0.000000 69,967 12 Sep 2023 Direct F1
holding ROIV Common Shares 37,489,959 12 Sep 2023 Held by QVT Financial Investment Cayman Ltd. F2, F3
holding ROIV Common Shares 37,925,362 12 Sep 2023 Held by QVT Roiv Hldgs Offshore Ltd. F2, F4
holding ROIV Common Shares 13,535,929 12 Sep 2023 Held by QVT Roiv Hldgs Onshore Ltd. F2, F4
holding ROIV Common Shares 28,010,344 12 Sep 2023 Held by QVT Deferred Compensation Holdings Ltd. F2, F5
holding ROIV Common Shares 5,470,181 12 Sep 2023 Held by QVT P&E Roiv Hldgs Ltd. F2, F5

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 ROIV Stock Option (Right to Buy) Award $0 +26,595 $0.000000 26,595 12 Sep 2023 Common Shares 26,595 $11.22 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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 12, 2024, subject generally to the reporting person's continuous service through such date.
F2 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 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.
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 Common 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 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 12, 2024, subject generally to the reporting person's continuous service through such date.