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Roivant Sciences Ltd. — Director's Dealing 2023
Sep 15, 2023
30587_dirs_2023-09-14_ca382b3c-eeb5-46c1-ab3f-60194790f681.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Roivant Sciences Ltd. (ROIV)
CIK: 0001635088
Period of Report: 2023-09-12
Reporting Person: MANCHESTER KEITH S (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-09-12 | Common Shares | A | 17825 | — | Acquired | 69967 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-09-12 | Stock Option (Right to Buy) | $11.22 | A | 26595 | Acquired | 2033-09-11 | Common Shares (26595) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 37489959 | Indirect |
| Common Shares | 13535929 | Indirect |
| Common Shares | 28010344 | Indirect |
| Common Shares | 5470181 | Indirect |
Footnotes
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 is a shareholder of each of QVT Roiv Hldgs Onshore Ltd., QVT Deferred Compensation Holdings Ltd., QVT P&E Roiv Hldgs Ltd. and QVT Financial Investment Cayman Ltd. (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. 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: 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.