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Roivant Sciences Ltd. — Director's Dealing 2024
Apr 13, 2024
30587_dirs_2024-04-12_be0c981b-f382-4952-bbc4-32129081d00f.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Roivant Sciences Ltd. (ROIV)
CIK: 0001635088
Period of Report: 2024-04-02
Reporting Person: Ramaswamy Vivek (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 53431426 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $12.68 | 2026-03-31 | Common Shares (21856138) | Direct | |
| Stock Option (Right to Buy) | $13.78 | 2026-03-31 | Common Shares (1753905) | Direct | |
| Stock Option (Right to Buy) | $15.85 | 2026-03-31 | Common Shares (5915052) | Direct | |
| Capped Value Appreciation Rights | $11.5 | 2026-03-31 | Common Shares (11570769) | Direct |
Footnotes
F1: Reflects an award of stock options to purchase Common Shares that is fully vested.
F2: Reflects a fully service-vested award of capped value appreciation rights ("CVARs") that, upon achievement of the hurdle price condition based on the hurdle price reflected in column 4 of Table II above on an applicable measurement date, entitle the reporting person to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price reflected in column 4 of Table II above (such excess, the "CVAR Amount"). The CVARs will be settled in a number of Common Shares determined by dividing (i) the applicable CVAR Amount by (ii) the fair market value of a Common Share as of the applicable payment date.