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Filing Details

Accession Number:: 0001209191-21-065639
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-18 19:18:31
Reporting Period:: 2021-11-16

Accepted Time:: 2021-11-18 19:18:31
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1802768	Royalty Pharma Plc	RPRX	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1814899	W. George Lloyd	C/O Royalty Pharma Plc 110 East 59Th Street New York NY 10022	Evp, Investments & Gc	No	Yes	No	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
Class A Ordinary Shares	Disposition	2021-11-16	72,659	$42.33	523,201	No	4	S	Indirect	By GWL 2013 NG, LLC
Class A Ordinary Shares	Disposition	2021-11-16	27,341	$43.19	495,860	No	4	S	Indirect	By GWL 2013 NG, LLC
Class A Ordinary Shares	Disposition	2021-11-16	65,852	$42.12	714,148	No	4	S	Indirect	By GWL 2014 G, LLC
Class A Ordinary Shares	Disposition	2021-11-17	84,148	$42.39	630,000	No	4	S	Indirect	By GWL 2014 G, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By GWL 2013 NG, LLC
No	4	S	Indirect	By GWL 2013 NG, LLC
No	4	S	Indirect	By GWL 2014 G, LLC
No	4	S	Indirect	By GWL 2014 G, LLC

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Ordinary Shares	LP interests in RPI US Partners 2019, LP	Disposition	2021-09-10	1,282	$0.00	12,820	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,889			No	5	G	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Ordinary Shares	240,000	Indirect	By GWL 2020 G, LLC
Class A Ordinary Shares	3,000	Direct
Class A Ordinary Shares	273,960	Indirect	By IRA
Class A Ordinary Shares	4,000	Indirect	By Spouse

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Class A Ordinary Shares	LP interests in RPI US Partners 2019, LP	$0.00			1,726,800	172,680	Indirect
Class A Ordinary Shares	LP interests in RPI US Partners 2019, LP	$0.00			2,640,270	264,027	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	1,726,800	172,680	Indirect
	2,640,270	264,027	Indirect

Footnotes

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.98 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.60 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.29 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.92 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
No limited partnership interests in RPI US Partners 2019, LP ("RPI US LP") are being exchanged by the Reporting Person. Each limited partnership interest in RPI US LP ("RPI US LP Interest") may be exchanged for ten Class B Interests in Royalty Pharma Holdings Limited ("Holdings"). Each Class B Interest in Holdings so distributed will be exchanged for one Class A Ordinary Share of the Issuer. Any exchanges will be made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Issuer, Holdings, RPI US LP, RPI International Holdings 2019, LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value will be paid by the Reporting Person in connection with an exchange.
The Reporting Person made a charitable donation of RPI US LP Interests. No Class A Ordinary Shares or RPI US LP Interests were sold.
Represents RPI US LP Interests. Each RPI US LP Interest can be exchanged for ten Class B Interests in Holdings at any time and for no additional value, which exchange right does not expire until so converted. Upon such exchange, each Class B Interest in Holdings issued in exchange for a RPI US LP Interest will be exchanged for one Class A Ordinary Share of the Issuer for no additional value.
The Reporting Person has agreed to retain and not sell Class A Ordinary Shares and RPI US LP Interests convertible into Class A Ordinary Shares representing approximately 7,397,096 Class A Ordinary Shares before February 2025 pursuant to an agreement by and between the Reporting Person and RP Management, LLC. This restriction is waivable under certain circumstances.