0000899243-18-031450.txt : 20181220
0000899243-18-031450.hdr.sgml : 20181220
20181220061558
ACCESSION NUMBER: 0000899243-18-031450
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: QVT Associates GP LLC
CENTRAL INDEX KEY: 0001290166
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244590
BUSINESS ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-705-8800
MAIL ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: QVT Offshore Ltd.
CENTRAL INDEX KEY: 0001301801
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 181244591
BUSINESS ADDRESS:
STREET 1: WALKERS CORPORATE SERVICES LIMITED
STREET 2: WALKER HOUSE, 87 MARY STREET
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9005
BUSINESS PHONE: 212-705-8888
MAIL ADDRESS:
STREET 1: WALKERS CORPORATE SERVICES LIMITED
STREET 2: WALKER HOUSE, 87 MARY STREET
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9005
FORMER NAME:
FORMER CONFORMED NAME: OVT Offshore Ltd.
DATE OF NAME CHANGE: 20120503
FORMER NAME:
FORMER CONFORMED NAME: QVT Overseas Ltd
DATE OF NAME CHANGE: 20040830
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-12-18
0
0001636050
Axovant Sciences Ltd.
AXON
0001290166
QVT Associates GP LLC
444 MADISON AVENUE, 21ST FLOOR
NEW YORK
NY
10022
0
0
1
0
0001301801
QVT Offshore Ltd.
190 ELGIN AVENUE
GEORGE TOWN, GRAND CAYMAN
E9
KY1-9005
CAYMAN ISLANDS
0
0
1
0
Common Shares, $0.00001 par value per share
2018-12-18
4
P
0
10000000
1.00
A
99285714
I
see fn
QVT Financial LP, its general partner, QVT Financial GP LLC, QVT Offshore Ltd. and QVT Associates GP LLC, the general partner of certain funds managed by QVT Financial LP (collectively, "QVT"), may be deemed to have beneficial ownership over the 99,285,714 Common Shares held by Roivant Sciences Ltd. ("Roivant") because, as shareholders of Roivant, QVT may be deemed to have dispositive power and, therefore, beneficial ownership, over the Common Shares held by Roivant by virtue of governance arrangements in Roivant's bye-laws, namely, the appointment of one or more independent directors (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors.
/s/ Tracy Fu
2018-12-19