Giuliani Mario Germano's Form 4 filing

Royalty Pharma plc (RPRX) · filed Dec 15, 2023

Accession no.: 0001140361-23-057897
Filed: Dec 15, 2023, 4:31 PM ET
Trade date: Dec 13-14, 2023
Filing delay: 2 days
Rule 10b5-1 plan: Not checked

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions. Open-market sales total $19.5M. 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.

Reporting owners on this filing
Owner	Relationship to the company
Giuliani Mario GermanoCIK 0001814882	Director, 10% Owner
Avara Management LtdCIK 0001814934	10% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Dec 13, 2023	Class A Ordinary Shares	SSaleDisposed	−307,935	$28.95^F1	−$8,916,011.58	3,169,585	Indirect
Dec 14, 2023	Class A Ordinary Shares	SSaleDisposed	−364,441	$28.91^F2	−$10,534,276.44	2,805,144	Indirect

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.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.52 to $29.34 per share, inclusive. The Reporting Persons undertake to provide to Royalty Pharma plc, any security holder of Royalty Pharma plc, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Referenced by the price of 1 transaction in Table I.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.50 to $29.44 per share, inclusive. The Reporting Persons undertake to provide to Royalty Pharma plc, any security holder of Royalty Pharma plc, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Referenced by the price of 1 transaction in Table I.

Read the full filing on SEC EDGAR (opens in a new tab)