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Royalty Pharma plc — Director's Dealing 2023
May 16, 2023
30286_dirs_2023-05-15_89bd2ae4-beb2-4f5d-b80a-18b5beb6da43.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Royalty Pharma plc (RPRX)
CIK: 0001802768
Period of Report: 2023-05-12
Reporting Person: Legorreta Pablo G. (Director, CEO, Chairman of the Board, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-05-12 | ICAI Interests | $0 | G | 10269 | Disposed | Limited Partnership interests in RPI US Partners 2019, LP (10269) | Indirect | |
| 2023-05-12 | ICAI Interests | $0 | G | 10269 | Acquired | Limited Partnership interests in RPI US Partners 2019, LP (10269) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| ICAI Interests | $0 | Limited Partnership interests in RPI US Partners 2019, LP (1007488) | 1007488 | Indirect |
Footnotes
F1: Reflects an exempt gift for no consideration of ICAI Interests from the reporting person's spouse to the reporting person.
F2: These ICAI Interests represent a beneficial interest in an equivalent number of limited partnership interests ("RPI US LP Interests") in RPI US Partners 2019, LP ("RPI US LP") and may be exchanged into RPI US LP Interests on a one-for-one basis currently. The ICAI Interests do not have an expiration date.
F3: 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. Each Class B Interest in Holdings issued in exchange for a RPI US LP Interest will be exchanged upon such exchange for one Class A Ordinary Share of the Issuer for no additional value.
F4: Reflects the exempt change in the form of beneficial ownership without a change in the reporting person's pecuniary interest pursuant to Rule 16a-13 of certain ICAI Interests from being directly or indirectly owned by the reporting person through Legorreta Investments II LLC to being directly owned or indirectly owned through Legorreta Investments LLC and the reporting person's spouse.