0001140361-22-033879.txt : 20220919
0001140361-22-033879.hdr.sgml : 20220919
20220919215345
ACCESSION NUMBER: 0001140361-22-033879
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220915
FILED AS OF DATE: 20220919
DATE AS OF CHANGE: 20220919
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gold Daniel Allen
CENTRAL INDEX KEY: 0001832142
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40782
FILM NUMBER: 221252006
MAIL ADDRESS:
STREET 1: 6720 VIA AUSTI PARKWAY
STREET 2: SUITE 450
CITY: LAS VEGAS
STATE: NV
ZIP: 89119
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Roivant Sciences Ltd.
CENTRAL INDEX KEY: 0001635088
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 981173944
STATE OF INCORPORATION: D0
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: CLARENDON HOUSE, 2 CHURCH STREET
CITY: HAMILTON HM11
STATE: D0
ZIP: HM11
BUSINESS PHONE: 441-295-5950
MAIL ADDRESS:
STREET 1: CLARENDON HOUSE
STREET 2: 2 CHURCH STREET
CITY: HAMILTON
STATE: D0
ZIP: HM11
4
1
form4.xml
FORM 4
X0306
4
2022-09-15
0001635088
Roivant Sciences Ltd.
ROIV
0001832142
Gold Daniel Allen
C/O ROIVANT SCIENCES LTD.
11-12 ST. JAMES'S SQUARE SUITE 1, 3RD FL
LONDON
X0
SW1Y 4LB
UNITED KINGDOM
true
Common Shares
2022-09-15
4
A
0
52142
0
A
52142
D
Common Shares
109761
I
Held by Fourth Avenue Capital Partners LP
Common Shares
39658939
I
Held by QVT Roiv Hldgs Offshore Ltd.
Common Shares
13908356
I
Held by QVT Roiv Hldgs Onshore Ltd.
Common Shares
30321987
I
Held by QVT Deferred Compensation Holdings Ltd.
Common Shares
5616260
I
Held by QVT P&E Roiv Hldgs Ltd.
Common Shares
39778514
I
Held by QVT Financial Investment Cayman Ltd.
Stock Option (Right to Buy)
3.5
2022-09-15
4
A
0
71850
0
A
2032-09-14
Common Shares
71850
71850
D
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 15, 2023, subject generally to the reporting person's continuous service through such date.
Management of Fourth Avenue Capital Partners LP is vested in its general partner, Fourth Avenue Capital Partners GP LLC, a Delaware limited liability company ("Fourth Avenue GP"), which may be deemed to beneficially own the Roivant Sciences Ltd. Common Shares held directly by Fourth Avenue. Daniel Gold is a Managing Member of Fourth Avenue GP, sharing voting and investment control over the Common Shares held directly by Fourth Avenue and may be deemed to beneficially own such Common Shares.
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.
QVT Financial LP, a Delaware limited partnership, is the investment manager of QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. ("QVT Roiv"), and shares voting and investment control over the Shares held directly by QVT Roiv. QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT Financial LP. The reporting person is a Managing Member of QVT Financial GP, sharing voting and investment control over the Common Shares held directly by QVT Roiv and may be deemed to beneficially own such Common Shares.
The reporting person is one of two directors of QVT P&E Roiv Hldgs Ltd. ("QVT P&E") and QVT Deferred Compensation Holdings Ltd ("QVT DCH"), sharing voting and investment control over the Common Shares held directly by QVT P&E and QVT DCH.
The reporting person is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Common Shares held directly by QVT FIC.
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 15, 2023, subject generally to the reporting person's continuous service through such date.
By: /s/ Jo Chen, as Attorney-in-Fact for Daniel Gold
2022-09-19