QVT Financial LP's Form 4 filing
Roivant Sciences Ltd. (ROIV) · filed Nov 14, 2022
- Accession no.
- 0000899243-22-035818
- Filed
- Nov 14, 2022
- Trade date
- Nov 9-10, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $26.9M. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| QVT Financial LPCIK 0001290162 | Director, 10% Owner, Other: Director by Deputization |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2022 | Common Shares | JOtherDisposed | −1,196,200 | –F1 | – | 38,582,314 | Indirect | Duplicate filing |
| Nov 10, 2022 | Common Shares | SSaleDisposed | −1,092,355 | $4.75 | −$5,188,686.25 | 37,489,959 | Indirect | Duplicate filing |
| Nov 10, 2022 | Common Shares | SSaleDisposed | −1,733,577 | $4.75 | −$8,234,490.75 | 37,925,362 | Indirect | Duplicate filing |
| Nov 10, 2022 | Common Shares | SSaleDisposed | −372,427 | $4.75 | −$1,769,028.25 | 13,535,929 | Indirect | Duplicate filing |
| Nov 10, 2022 | Common Shares | SSaleDisposed | −2,311,643 | $4.75 | −$10,980,304.25 | 28,010,344 | Indirect | Duplicate filing |
| Nov 10, 2022 | Common Shares | SSaleDisposed | −146,079 | $4.75 | −$693,875.25 | 5,470,181 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Shares were distributed in-kind to certain shareholders of QVT FIC (as defined below) who subsequently gifted the shares to charitable foundations, each of which is subject to a lock-up.
Referenced by the price of 1 transaction in Table I.