Form 4 for ROIV Roivant Sciences Ltd.
Accepted 2023-08-03 00:00:00 ET · period of report 2023-08-01 · accession 0001140361-23-037941 · 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 | 2023-08-03 | 2023-08-01+ | ROIV | Kumar Rakhi | CAO | S - Sale+OE | $12.00 | -4,017 | 199.3K | -2% | -$48.2K |
| DM | 2023-08-03 | 2023-08-01+ | ROIV | Kumar Rakhi | CAO | M - OptEx | $6.48 | +4,017 | 203.0K | +2% | +$26.0K |
| DM | 2023-08-03 | 2023-08-01+ | ROIV | Kumar Rakhi | CAO | M - OptEx | $0.00 | -4,017 | 101.1K | -4% | $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 | 2023-08-01 | S | D | 336 | $12.00 | 199,328 | 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 | 2023-08-01 | M | A | 336 | $6.48 | 199,664 | D | — | — | |
| 3 | Common | Common Shares | 2023-08-03 | M | A | 3,681 | $6.48 | 203,009 | D | — | — | |
| 4 | Common | Common Shares | 2023-08-03 | S | D | 3,681 | $12.00 | 199,328 | 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. |
| 5 | Derivative | Stock Option (Right to Buy) | 2023-08-01 | M | D | 336 | $0.00 | 104,755 | D | $6.48 · — to 2027-05-21 | 336 Common Shares | (F2) Award of stock options to purchase Common Shares. The award of stock options is fully vested. |
| 6 | Derivative | Stock Option (Right to Buy) | 2023-08-03 | M | D | 3,681 | $0.00 | 101,074 | D | $6.48 · — to 2027-05-21 | 3,681 Common Shares | (F2) Award of stock options to purchase Common Shares. The award of stock options is fully vested. |