Riggs Rory B's Form 4 filing
Royalty Pharma plc (RPRX) · filed Sep 30, 2021
- Accession no.
- 0001209191-21-058170
- Filed
- Sep 30, 2021
- Trade date
- Sep 10-29, 2021
- Filing delay
- 20 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 1 derivative transaction. Open-market sales total $4.69M. It was filed 20 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Riggs Rory BCIK 0001016835 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2021 | Class A Ordinary Shares | SSaleDisposed | −40,000 | $36.75F1 | −$1,470,000 | 639,760 | Direct | |
| Sep 29, 2021 | Class A Ordinary Shares | SSaleDisposed | −24,648 | $36.50F2 | −$899,652 | 615,112 | Direct | |
| Sep 29, 2021 | Class A Ordinary Shares | JOtherAcquired | +2,334 | –F4 | – | 617,446 | Direct | |
| Sep 29, 2021 | Class A Ordinary Shares | JOtherAcquired | +5,299 | –F4 | – | 622,745 | Direct | |
| Sep 29, 2021 | Class A Ordinary Shares | JOtherAcquired | +8,641 | –F4 | – | 631,386 | Direct | |
| Sep 29, 2021 | Class A Ordinary Shares | SSaleDisposed | −34,604 | $36.31F7 | −$1,256,471.24 | 899,306 | Indirect | |
| Sep 29, 2021 | Class A Ordinary Shares | JOtherDisposed | −109,814 | –F8 | – | 789,492 | Indirect | |
| Sep 29, 2021 | Class A Ordinary Shares | SSaleDisposed | −22,173 | $36.31F7 | −$805,101.63 | 3,429,085 | Indirect | |
| Sep 29, 2021 | Class A Ordinary Shares | JOtherDisposed | −511,727 | –F9 | – | 2,917,358 | Indirect | |
| Sep 29, 2021 | Class A Ordinary Shares | SSaleDisposed | −7,000 | $36.67F10 | −$256,690 | 2,074,540 | Indirect | |
| Sep 29, 2021 | Class A Ordinary Shares | JOtherDisposed | −314,886 | –F11 | – | 1,759,654 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 10, 2021 | Class A Ordinary Shares | GGiftDisposed | −76,920 | $0.00 | $0 | 534,059 | 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 reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.58 to $36.96 per share. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written 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.
- F2
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.15 to $36.87 per share. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written 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.
- F4
Pro rata distribution from a limited liability company of which the Reporting Person is a member.
Referenced by the price of 3 transactions in Table I.
- F7
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.25 to $36.50 per share. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written 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 2 transactions in Table I.
- F8
New Ventures Select distributed these shares to its members on a pro rata basis, for no consideration.
Referenced by the price of 1 transaction in Table I.
- F9
New Ventures I LLC distributed these shares to its members on a pro rata basis, for no consideration.
Referenced by the price of 1 transaction in Table I.
- F10
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.62 to $36.75 per share. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written 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.
- F11
New Ventures III LLC distributed these shares to its members on a pro rata basis, for no consideration.
Referenced by the price of 1 transaction in Table I.