Kumar Rakhi's Form 4 filing
Roivant Sciences Ltd. (ROIV) · filed Apr 28, 2023
- Accession no.
- 0001140361-23-021749
- Filed
- Apr 28, 2023
- Trade date
- Apr 26-28, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 8 non-derivative transactions and 5 derivative transactions. Open-market sales total $1.98M. It was filed 2 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 |
|---|---|
| Kumar RakhiCIK 0001856296 | Officer (Chief Accounting Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 26, 2023 | Common Shares | MOption exerciseAcquired | +53,189 | $3.97 | +$211,160.33 | 253,328 | Direct | |
| Apr 26, 2023 | Common Shares | MOption exerciseAcquired | +34,641 | $3.85 | +$133,367.85 | 287,969 | Direct | |
| Apr 26, 2023 | Common Shares | SSaleDisposed | −87,830 | $8.68F1 | −$762,364.4 | 200,139 | Direct | |
| Apr 27, 2023 | Common Shares | MOption exerciseAcquired | +5,335 | $3.97 | +$21,179.95 | 205,474 | Direct | |
| Apr 27, 2023 | Common Shares | MOption exerciseAcquired | +65,634 | $3.85 | +$252,690.9 | 271,108 | Direct | |
| Apr 27, 2023 | Common Shares | SSaleDisposed | −70,969 | $8.51F1 | −$603,946.19 | 200,139 | Direct | |
| Apr 28, 2023 | Common Shares | MOption exerciseAcquired | +71,989 | $3.85 | +$277,157.65 | 272,128 | Direct | |
| Apr 28, 2023 | Common Shares | SSaleDisposed | −71,989 | $8.47F1 | −$609,746.83 | 200,139 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 26, 2023 | Common Shares | MOption exerciseDisposed | −53,189 | $0.00 | $0 | 5,335 | Direct | |
| Apr 26, 2023 | Common Shares | MOption exerciseDisposed | −34,641 | $0.00 | $0 | 965,359 | Direct | |
| Apr 27, 2023 | Common Shares | MOption exerciseDisposed | −5,335 | $0.00 | $0 | 0 | Direct | |
| Apr 27, 2023 | Common Shares | MOption exerciseDisposed | −65,634 | $0.00 | $0 | 899,725 | Direct | |
| Apr 28, 2023 | Common Shares | MOption exerciseDisposed | −71,989 | $0.00 | $0 | 827,736 | Direct |
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
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.
Referenced by the price of 3 transactions in Table I.