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Filing Details

Accession Number:: 0000903423-19-000152
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-03-19 17:06:37
Reporting Period:: 2019-03-18

Accepted Time:: 2019-03-19 17:06:37
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1636050	Axovant Sciences Ltd.	AXON	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1101785	Viking Global Equities Lp	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1132625	Viking Global Performance Llc	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1133006	Andreas Ole Halvorsen	C/O Viking Global Investors Lp 280 Park Ave 35Th New York NY 10017	No	No	Yes	No
1413378	Viking Global Equities Ii Lp	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1621596	Ltd. Master Fund Long Viking	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1621607	Viking Long Fund Gp Llc	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1621620	Ltd. Portfolio Iii Vge	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1621842	C. David Ott	C/O Viking Global Investors Lp 280 Park Avenue New York NY 10017	No	No	Yes	No
1711393	Sharon Rose Shabet	C/O Viking Global Investors Lp 280 Park Avenue New York NY 10017	No	No	Yes	No
1759530	Ltd. Master Equities Global Viking	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Shares, Par Value $0.00001 Per Share	Acquisiton	2019-03-18	6,666,667	$1.50	105,952,381	No	4	P	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnotes

Footnotes

The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 105,952,381 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant.
O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").
VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons").
VGP is the general partner of VGE, VGE II and VGEM and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.
The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.