144: Filer Information
Filer CIK | 0001856296 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | ![]() ![]() |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Form 144 Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | |
FORM 144 |
Filer CIK | 0001856296 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | ![]() ![]() |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Name of Issuer | Roivant Sciences Ltd. |
SEC File Number | 001-40782 |
Address of Issuer | 7th Floor 50 Broadway London UNITED KINGDOM SW1H 0DB |
Phone | 44 207 400 3347 |
Name of Person for Whose Account the Securities are To Be Sold | Kumar Rakhi |
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account
the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given
as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales
for the account of the person filing this notice.
| |
Relationship to Issuer | Chief Accounting Officer |
Title of the Class of Securities To Be Sold | Name and Address of the Broker | Number of Shares or Other Units To Be Sold | Aggregate Market Value | Number of Shares or Other Units Outstanding | Approximate Date of Sale | Name the Securities Exchange |
---|---|---|---|---|---|---|
Common shares, $0.0000000341740141 par value per share (???Common Shares???) | E*TRADE FINANCIAL CORPORATION 3 EDISON DRIVE ALPHARETTA GA 30005 | 2671 | 27591.43 | 771742197 | 09/21/2023 | Nasdaq |
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired | Is this a Gift? | Date Donor Acquired | Amount of Securities Acquired | Date of Payment | Nature of Payment * |
---|---|---|---|---|---|---|---|---|
Common Shares | 09/20/2023 | Restricted Stock Units granted under the Roivant Sciences Ltd. Amended and Restated 2015 Equity Incentive Plan | Roivant Sciences Ltd. | ![]() | 2671 | 09/20/2023 | N/A |
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds |
---|---|---|---|---|
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 06/22/2023 | 1357 | 13583.57 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 07/14/2023 | 535 | 6420 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 07/18/2023 | 100 | 1200 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 07/24/2023 | 1393 | 15309.07 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 08/01/2023 | 336 | 4032 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 08/03/2023 | 3681 | 44172 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 08/22/2023 | 1378 | 14923.74 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 09/05/2023 | 1724 | 20688 |
Rakhi Kumar c/o Roivant Sciences Ltd. 7th Floor, 50 Broadway London X0 SW1H 0DB | Common Shares | 09/08/2023 | 99350 | 1210083 |
Remarks | The securities included in Table I represent a maximum number of shares that may be sold to cover the reporting person's tax obligations when restricted stock units belonging to the reporting person are settled. The securities reported in Table I do not represent discretionary trades by the reporting person, and will be sold, or were sold, as applicable, for the limited purpose of satisfying tax withholding obligations. The securities included in Table II sold on June 22, 2023, July 23, 2023 and August 22, 2023 represent shares sold to cover the reporting person's tax obligations when restricted stock units belonging to the reporting person were settled. Table II does not include shares that were "net settled" by the Issuer in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units previously granted to the reporting person. |
Date of Notice | 09/21/2023 |
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1 | 02/17/2022 |
ATTENTION: | |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. | |
Signature | /s/ Rakhi Kumar |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |