Form 4 for ROIV Roivant Sciences Ltd.
Accepted 2023-07-27 00:00:00 ET · period of report 2023-07-25 · accession 0001140361-23-036583 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-07-27 | 2023-07-25+ | ROIV | Venker Eric | COO | S - Sale+OE | $10.91 | -125.5K | 627.9K | -17% | -$1.37M |
| DM | 2023-07-27 | 2023-07-25+ | ROIV | Venker Eric | COO | M - OptEx | $3.85 | +125.5K | 656.3K | +24% | +$483.3K |
| DM | 2023-07-27 | 2023-07-25+ | ROIV | Venker Eric | COO | M - OptEx | $0.00 | -125.5K | 14.85M | -0.8% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Shares | 2023-07-26 | S | D | 73,568 | $10.91 | 627,918 | D | — | — | (F1) The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. These sales were effected by the reporting person pursuant to a Rule 10b5-1 trading plan adopted on February 25, 2023. |
| 2 | Common | Common Shares | 2023-07-26 | M | A | 73,568 | $3.85 | 701,486 | D | — | — | |
| 3 | Common | Common Shares | 2023-07-25 | S | D | 28,344 | $10.86 | 627,918 | D | — | — | (F1) The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. These sales were effected by the reporting person pursuant to a Rule 10b5-1 trading plan adopted on February 25, 2023. |
| 4 | Common | Common Shares | 2023-07-27 | M | A | 23,622 | $3.85 | 651,540 | D | — | — | |
| 5 | Common | Common Shares | 2023-07-27 | S | D | 23,622 | $10.98 | 627,918 | D | — | — | (F1) The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. These sales were effected by the reporting person pursuant to a Rule 10b5-1 trading plan adopted on February 25, 2023. |
| 6 | Common | Common Shares | 2023-07-25 | M | A | 28,344 | $3.85 | 656,262 | D | — | — | |
| 7 | Derivative | Stock Option (Right to Buy) | 2023-07-27 | M | D | 23,622 | $0.00 | 14,823,184 | D | $3.85 · — to 2032-04-19 | 23,622 Common Shares | (F2) Award of stock options to purchase Common Shares with a vesting commencement date of April 20, 2022. These options vest and become exercisable (i) 25% on the first anniversary of the applicable vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject generally to the reporting person's continuous service through each vesting date (unless otherwise provided in the applicable award documentation). |
| 8 | Derivative | Stock Option (Right to Buy) | 2023-07-25 | M | D | 28,344 | $0.00 | 14,920,374 | D | $3.85 · — to 2032-04-19 | 28,344 Common Shares | (F2) Award of stock options to purchase Common Shares with a vesting commencement date of April 20, 2022. These options vest and become exercisable (i) 25% on the first anniversary of the applicable vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject generally to the reporting person's continuous service through each vesting date (unless otherwise provided in the applicable award documentation). |
| 9 | Derivative | Stock Option (Right to Buy) | 2023-07-26 | M | D | 73,568 | $0.00 | 14,846,806 | D | $3.85 · — to 2032-04-19 | 73,568 Common Shares | (F2) Award of stock options to purchase Common Shares with a vesting commencement date of April 20, 2022. These options vest and become exercisable (i) 25% on the first anniversary of the applicable vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject generally to the reporting person's continuous service through each vesting date (unless otherwise provided in the applicable award documentation). |