Form 4 for ABUS Arbutus Biopharma Corp

Accepted 2021-10-20 00:00:00 ET · period of report 2021-10-18 · accession 0000950103-21-016172 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2021-10-20	2021-10-18	ABUS	Roivant Sciences Ltd.	10%	C - Cnv Deriv	—	+22.83M	38.85M	+143%	—
D	2021-10-20	2021-10-18	ABUS	Roivant Sciences Ltd.	10%	C - Cnv Deriv	—	-1.16M	0	-100%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common shares, without par value	2021-10-18	C	A	22,833,922	—	38,847,462	D	—	—	(F1) On October 18, 2021, 1,164,000 Series A participating convertible preferred shares of the Issuer held by the Reporting Person, which were previously acquired by the Reporting Person in two tranches in October 2017 and January 2018, mandatorily converted into 22,833,922 common shares, without par value (the "Common Shares"), of the Issuer, in accordance with their terms. (F2) Includes 16,013,540 Common Shares that were previously acquired by the Reporting Person in 2015.
2	Derivative	Series A participating convertible preferred shares	2021-10-18	C	D	1,164,000	—	0	D	$7.13 · — to —	1,164,000 Common shares	(F1) On October 18, 2021, 1,164,000 Series A participating convertible preferred shares of the Issuer held by the Reporting Person, which were previously acquired by the Reporting Person in two tranches in October 2017 and January 2018, mandatorily converted into 22,833,922 common shares, without par value (the "Common Shares"), of the Issuer, in accordance with their terms.