0000950103-21-007079.txt : 20210511
0000950103-21-007079.hdr.sgml : 20210511
20210511210807
ACCESSION NUMBER: 0000950103-21-007079
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210507
FILED AS OF DATE: 20210511
DATE AS OF CHANGE: 20210511
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Urist Marshall
CENTRAL INDEX KEY: 0001838139
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39329
FILM NUMBER: 21913176
MAIL ADDRESS:
STREET 1: C/O ROYALTY PHARMA PLC
STREET 2: 110 EAST 59TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Royalty Pharma plc
CENTRAL INDEX KEY: 0001802768
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 110 EAST 59TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 883-0200
MAIL ADDRESS:
STREET 1: 110 EAST 59TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
dp150862_4-urist.xml
FORM 4
X0306
4
2021-05-07
0
0001802768
Royalty Pharma plc
RPRX
0001838139
Urist Marshall
C/O ROYALTY PHARMA PLC
110 EAST 59TH STREET
NEW YORK
NY
10022
0
1
0
0
EVP & Co-Head Research & Inv.
Class A Ordinary Shares
2021-05-07
4
C
0
49700
0
A
49700
D
Class A Ordinary Shares
19020
I
By IRA
LP interests in RPI US Partners 2019, LP
0
2021-05-07
4
C
0
4970
0
D
Class A Ordinary Shares
49700
142594
D
These Class A Ordinary Shares will be received by the Reporting Person in exchange for limited partnership interests in RPI US Partners 2019, LP ("RPI US LP"). Each limited partnership interest in RPI US LP ("RPI US LP Interest") will be exchanged for ten Class B Interests in Royalty Pharma Holdings Limited ("Holdings"). Each Class B Interest in Holdings so distributed will be exchanged for one Class A Ordinary Share of the Issuer. This exchange will be made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Issuer, Holdings, RPI US LP, RPI International Holdings 2019, LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value will be paid by the Reporting Person in connection with the exchange.
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. Upon such exchange, each Class B Interest in Holdings issued in exchange for a RPI US LP Interest will be exchanged for one Class A Ordinary Share of the Issuer for no additional value.
The Reporting Person has agreed to retain and not sell 142,594 RPI US LP Interests convertible into 1,425,940 Class A Ordinary Shares before February 2025 pursuant to an agreement by and between the Reporting Person and RP Management, LLC. This restriction is waivable under certain circumstances.
/s/ Jason Mehar, as Attorney-in-Fact, for Marshall Urist
2021-05-11