Filing Details
- Accession Number:
- 0000950170-23-051241
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-10-02 20:43:00
- Reporting Period:
- 2023-09-28
- Accepted Time:
- 2023-10-02 20:43:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1635088 | Roivant Sciences Ltd. | ROIV | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1290162 | Qvt Financial Lp | 888 Seventh Avenue, 43Rd Floor New York NY 10106 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Disposition | 2023-09-28 | 8,957 | $11.55 | 100,804 | No | 4 | S | Indirect | Held by Fourth Avenue Capital Partners LP |
| Common Shares | Disposition | 2023-09-28 | 2,285,783 | $11.55 | 25,724,561 | No | 4 | S | Indirect | Held by QVT Deferred Compensation Holdings Ltd |
| Common Shares | Disposition | 2023-09-28 | 3,059,368 | $11.55 | 34,430,591 | No | 4 | S | Indirect | Held by QVT Financial Investment Cayman Ltd |
| Common Shares | Disposition | 2023-09-28 | 3,094,899 | $11.55 | 34,830,463 | No | 4 | S | Indirect | Held by QVT Roiv Hldgs Offshore Ltd |
| Common Shares | Disposition | 2023-09-28 | 1,104,599 | $11.55 | 12,431,330 | No | 4 | S | Indirect | Held by QVT Roiv Hldgs Onshore Ltd. |
| Common Shares | Disposition | 2023-09-28 | 446,394 | $11.55 | 5,023,787 | No | 4 | S | Indirect | Held by QVT P&E Roiv Hldgs Ltd |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | Held by Fourth Avenue Capital Partners LP |
| No | 4 | S | Indirect | Held by QVT Deferred Compensation Holdings Ltd |
| No | 4 | S | Indirect | Held by QVT Financial Investment Cayman Ltd |
| No | 4 | S | Indirect | Held by QVT Roiv Hldgs Offshore Ltd |
| No | 4 | S | Indirect | Held by QVT Roiv Hldgs Onshore Ltd. |
| No | 4 | S | Indirect | Held by QVT P&E Roiv Hldgs Ltd |
Footnotes
- Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 112,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.
- QVT provides certain investment advisory services for, and thereby may be deemed to beneficially own the Shares held by, Fourth Avenue, QVT P&E, QVT DCH and QVT FIC. QVT disclaims beneficial ownership of such Shares, except to the extent of any 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.
- QVT is the investment manager of QVT Roiv, shares voting and investment control over the Shares held directly by QVT Roiv and therefore may be deemed to beneficially own such Shares. QVT disclaims beneficial ownership of such Shares, except to the extent of any 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.
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