0000903423-18-000641.txt : 20181220
0000903423-18-000641.hdr.sgml : 20181220
20181220093811
ACCESSION NUMBER: 0000903423-18-000641
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181218
FILED AS OF DATE: 20181220
DATE AS OF CHANGE: 20181220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIKING GLOBAL PERFORMANCE LLC
CENTRAL INDEX KEY: 0001132625
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244839
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
STREET 2: 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-863-5000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
STREET 2: 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
FORMER NAME:
FORMER CONFORMED NAME: VIKING GLOBAL PERFORMANC LLC
DATE OF NAME CHANGE: 20010117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Global Equities LP
CENTRAL INDEX KEY: 0001101785
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244840
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-863-5000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
FORMER NAME:
FORMER CONFORMED NAME: VIKING GLOBAL EQUITIES LP
DATE OF NAME CHANGE: 20010122
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Global Equities II LP
CENTRAL INDEX KEY: 0001413378
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244841
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: Greenwich
STATE: ct
ZIP: 06830
BUSINESS PHONE: 203-863-5000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: Greenwich
STATE: ct
ZIP: 06830
FORMER NAME:
FORMER CONFORMED NAME: VIKING GLOBAL EQUITIES II LP
DATE OF NAME CHANGE: 20070924
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VGE III Portfolio Ltd.
CENTRAL INDEX KEY: 0001621620
STATE OF INCORPORATION: E9
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244842
BUSINESS ADDRESS:
STREET 1: C/O MORGAN STANLEY FUND SRVCS (CAYMAN)
STREET 2: CRICKET SQ, HUTCHINS DR, PO BOX 2681
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1111
BUSINESS PHONE: 441-295-9166
MAIL ADDRESS:
STREET 1: C/O MORGAN STANLEY FUND SRVCS (CAYMAN)
STREET 2: CRICKET SQ, HUTCHINS DR, PO BOX 2681
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Long Fund Master Ltd.
CENTRAL INDEX KEY: 0001621596
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244843
BUSINESS ADDRESS:
STREET 1: C/O MORGAN STANLEY FUND SRVCS (CAYMAN)
STREET 2: CICKET SQ, HUTCHINS DR, PO BOX 2681
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1111
BUSINESS PHONE: 441-295-9166
MAIL ADDRESS:
STREET 1: C/O MORGAN STANLEY FUND SRVCS (CAYMAN)
STREET 2: CICKET SQ, HUTCHINS DR, PO BOX 2681
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Long Fund GP LLC
CENTRAL INDEX KEY: 0001621607
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244844
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: (203) 863-5000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HALVORSEN OLE ANDREAS
CENTRAL INDEX KEY: 0001133006
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244845
MAIL ADDRESS:
STREET 1: C/O VIKING GLOBAL INVESTORS LP
STREET 2: 280 PARK AVE 35TH
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ott David C.
CENTRAL INDEX KEY: 0001621842
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244846
MAIL ADDRESS:
STREET 1: C/O VIKING GLOBAL INVESTORS LP
STREET 2: 280 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shabet Rose Sharon
CENTRAL INDEX KEY: 0001711393
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244847
MAIL ADDRESS:
STREET 1: C/O VIKING GLOBAL INVESTORS LP
STREET 2: 280 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Axovant Sciences Ltd.
CENTRAL INDEX KEY: 0001636050
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: D0
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 20-22 BEDFORD ROW
CITY: LONDON
STATE: X0
ZIP: WC1R 4JS
BUSINESS PHONE: 441-295-5950
MAIL ADDRESS:
STREET 1: 20-22 BEDFORD ROW
CITY: LONDON
STATE: X0
ZIP: WC1R 4JS
FORMER COMPANY:
FORMER CONFORMED NAME: Axovant Sciences, Inc.
DATE OF NAME CHANGE: 20150324
FORMER COMPANY:
FORMER CONFORMED NAME: Roivant Neurosciences Ltd.
DATE OF NAME CHANGE: 20150309
4
1
axon2.xml
OWNERSHIP DOCUMENT
X0306
4
2018-12-18
0
0001636050
Axovant Sciences Ltd.
AXON
0001132625
VIKING GLOBAL PERFORMANCE LLC
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001101785
Viking Global Equities LP
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001413378
Viking Global Equities II LP
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001621620
VGE III Portfolio Ltd.
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001621596
Viking Long Fund Master Ltd.
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001621607
Viking Long Fund GP LLC
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001133006
HALVORSEN OLE ANDREAS
C/O VIKING GLOBAL INVESTORS LP
280 PARK AVE 35TH
NEW YORK
NY
10017
0
0
1
0
0001621842
Ott David C.
C/O VIKING GLOBAL INVESTORS LP
280 PARK AVENUE
NEW YORK
NY
10017
0
0
1
0
0001711393
Shabet Rose Sharon
C/O VIKING GLOBAL INVESTORS LP
280 PARK AVENUE
NEW YORK
NY
10017
0
0
1
0
Common Shares, par value $0.00001 per share
2018-12-18
4
P
0
10000000
1.00
A
99285714
I
See Footnotes
The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 99,285,714 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant.
O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons").
VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.
The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
(5) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (6) Each of O. Andreas Halvorsen, David C. Ott and Rose S. Shabet is signing as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES LP, VIKING GLOBAL EQUITIES II LP and VGE III PORTFOLIO LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD. (7) Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, VGI, Opportunities Fund, Opportunities Portfolio GP and Opportunities GP have jointly filed with the Reporting Persons on a separate Form 4 filing submitted on the same day hereof.
/s/ O. Andreas Halvorsen (5)(6)
2018-12-20
/s/ David C. Ott (5)(6)
2018-12-20
/s/ Rose Shabet (5)(6)
2018-12-20