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Nasdaq · USD

ROIV

Roivant Sciences Ltd.

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Tapewire entity
3185
SEC CIK
0001635088
Parsed reports
457

Last 12 months

Inside the activity.

0 purchase rows · 114 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025016
Dec 2025029
Jan 202601
Feb 2026020
Mar 202603
Apr 202603
May 202601
Jun 2026023
Jul 202601
Aug 202609
Sep 202606
Oct 202602

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 03, 2023 Filed Apr 6, 2023 01:30 UTC
Oren IlanDirector
GrantCommon Shares 1,942 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-016867 · form4.xml · nonDerivative · entry 1

Oren Ilan · CIK 0001643073 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,113

F1 · shares: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

F1 · price: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

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April 03, 2023 Filed Apr 6, 2023 01:31 UTC GrantCommon Shares 1,351 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-016868 · form4.xml · nonDerivative · entry 1

MOMTAZEE JAMES C · CIK 0001209181 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,125

F1 · shares: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

F1 · price: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

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March 29, 2023 Filed Apr 1, 2023 01:30 UTC OtherCommon Shares 1,639 $7.35 $12,046.65
Disclosure

SEC source: 0001140361-23-015526 · form4.xml · nonDerivative · entry 1

Pulik Richard · CIK 0001885841 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 221,708

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

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March 23, 2023 Filed Mar 28, 2023 01:30 UTC
Venker EricPresident & COO
OtherCommon Shares 14,194 $7.30 $103,616.20
Disclosure

SEC source: 0001140361-23-014076 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 690,225

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

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March 23, 2023 Filed Mar 28, 2023 01:30 UTC
Kumar RakhiChief Accounting Officer
OtherCommon Shares 2,134 $7.30 $15,578.20
Disclosure

SEC source: 0001140361-23-014075 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,409

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

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March 23, 2023 Filed Mar 28, 2023 01:30 UTC
Gline MatthewDirector · CEO
OtherCommon Shares 18,563 $7.30 $135,509.90
Disclosure

SEC source: 0001140361-23-014077 · form4.xml · nonDerivative · entry 1

Gline Matthew · CIK 0001750094 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,076,600

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

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March 20, 2023 Filed Mar 23, 2023 01:00 UTC SaleCommon Shares 12,000,000 $8.00 $96,000,000.00
Disclosure

SEC source: 0000899243-23-009465 · doc4.xml · nonDerivative · entry 1

SVF Investments (UK) Ltd · CIK 0001716729 · 10% owner

SoftBank Vision Fund L.P. · CIK 0001699940 · 10% owner

SVF Holdings (UK) LLP · CIK 0001716727 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 83,031,667

F1 · ownership.nature: Securities held of record by SVF Investments (UK) Limited ("SVF Investments"). Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Investments. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as the alternative investment fund manager ("AIFM") of SoftBank Vision Fund L.P. SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund L.P.'s investments.

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March 01, 2023 Filed Mar 4, 2023 02:00 UTC SaleCommon Shares 1,912 $8.08 $15,448.96
Disclosure

SEC source: 0001140361-23-010166 · form4.xml · nonDerivative · entry 1

Pulik Richard · CIK 0001885841 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,347

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · balance_after: Includes Common Shares purchased under the Company's Employee Stock Purchase Plan.

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February 22, 2023 Filed Feb 22, 2023 22:04 UTC SaleCommon Shares 4,000,000 $7.95 $31,800,000.00
Disclosure

SEC source: 0001140361-23-008049 · form4.xml · nonDerivative · entry 1

Ramaswamy Vivek · CIK 0001635075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,409,211

F1 · shares: The reporting person does not expect to sell additional shares of the Issuer for the foreseeable future.

F2 · balance_after: Reflects an award of restricted stock covering Common Shares that is fully vested.

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February 22, 2023 Filed Feb 25, 2023 02:30 UTC
Venker EricPresident & COO
OtherCommon Shares 11,953 $8.43 $100,763.79
Disclosure

SEC source: 0001140361-23-008667 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 704,419

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

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February 22, 2023 Filed Feb 25, 2023 02:30 UTC
Kumar RakhiChief Accounting Officer
OtherCommon Shares 1,797 $8.43 $15,148.71
Disclosure

SEC source: 0001140361-23-008668 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,543

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

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February 22, 2023 Filed Feb 25, 2023 02:30 UTC
Gline MatthewDirector · CEO
OtherCommon Shares 14,471 $8.43 $121,990.53
Disclosure

SEC source: 0001140361-23-008666 · form4.xml · nonDerivative · entry 1

Gline Matthew · CIK 0001750094 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,163

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4

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January 24, 2023 Filed Jan 27, 2023 02:01 UTC
Venker EricPresident & COO
OtherCommon Shares 13,057 $8.56 $111,767.92
Disclosure

SEC source: 0001140361-23-002961 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 716,372

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

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January 24, 2023 Filed Jan 27, 2023 02:01 UTC
Gline MatthewDirector · CEO
OtherCommon Shares 15,594 $8.56 $133,484.64
Disclosure

SEC source: 0001140361-23-002960 · form4.xml · nonDerivative · entry 1

Gline Matthew · CIK 0001750094 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,109,634

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4

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January 24, 2023 Filed Jan 27, 2023 02:01 UTC
Kumar RakhiChief Accounting Officer
OtherCommon Shares 1,838 $8.56 $15,733.28
Disclosure

SEC source: 0001140361-23-002959 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,340

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

Read SEC document
January 05, 2023 Filed Jan 7, 2023 02:30 UTC
Venker EricPresident & COO
SaleCommon Shares 24,037 $8.02 $192,776.74
Disclosure

SEC source: 0001140361-23-000876 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 729,429

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2022.

Read SEC document
January 03, 2023 Filed Jan 5, 2023 02:30 UTC
Venker EricPresident & COO
SaleCommon Shares 95,484 $7.32 $698,942.88
Disclosure

SEC source: 0001140361-23-000545 · form4.xml · nonDerivative · entry 2

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 753,466

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2022.

F2 · balance_after: A Form 4 filed by the reporting person on December 28, 2022 inadvertently overstated the total number of Common Shares held by the reporting person by 28,936 Common Shares. The updated amounts reported here correct that error and reflect the reporting person's holdings.

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January 03, 2023 Filed Jan 6, 2023 02:30 UTC GrantCommon Shares 2,447 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000728 · form4.xml · nonDerivative · entry 1

MOMTAZEE JAMES C · CIK 0001209181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,774

F1 · shares: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

F1 · price: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

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January 03, 2023 Filed Jan 6, 2023 02:30 UTC
Oren IlanDirector
GrantCommon Shares 2,010 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000729 · form4.xml · nonDerivative · entry 1

Oren Ilan · CIK 0001643073 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,171

F1 · shares: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

F1 · price: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

Read SEC document
December 30, 2022 Filed Jan 5, 2023 02:30 UTC
Venker EricPresident & COO
SaleCommon Shares 23,761 $8.00 $190,088.00
Disclosure

SEC source: 0001140361-23-000545 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 848,950

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2022.

F2 · balance_after: A Form 4 filed by the reporting person on December 28, 2022 inadvertently overstated the total number of Common Shares held by the reporting person by 28,936 Common Shares. The updated amounts reported here correct that error and reflect the reporting person's holdings.

Read SEC document
December 23, 2022 Filed Dec 29, 2022 02:31 UTC
Venker EricPresident & COO
OtherCommon Shares 16,031 $7.10 $113,820.10
Disclosure

SEC source: 0001140361-22-047269 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 901,647

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

Read SEC document
December 23, 2022 Filed Dec 29, 2022 02:31 UTC
Gline MatthewDirector · CEO
OtherCommon Shares 19,408 $7.10 $137,796.80
Disclosure

SEC source: 0001140361-22-047271 · form4.xml · nonDerivative · entry 1

Gline Matthew · CIK 0001750094 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,125,228

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4

Read SEC document
December 23, 2022 Filed Dec 29, 2022 02:31 UTC
Kumar RakhiChief Accounting Officer
OtherCommon Shares 1,592 $7.10 $11,303.20
Disclosure

SEC source: 0001140361-22-047270 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,178

F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person.

F2 · price: 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 (2) to this Form 4.

Read SEC document
December 09, 2022 Filed Dec 10, 2022 02:30 UTC
Venker EricPresident & COO
SaleCommon Shares 133,376 $7.03 $937,633.28
Disclosure

SEC source: 0001140361-22-045162 · form4.xml · nonDerivative · entry 2

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 888,742

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2022.

Read SEC document
December 08, 2022 Filed Dec 10, 2022 02:30 UTC
Venker EricPresident & COO
SaleCommon Shares 11,729 $7.00 $82,103.00
Disclosure

SEC source: 0001140361-22-045162 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,118

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2022.

Read SEC document
November 20, 2022 Filed Nov 22, 2022 23:30 UTC
Venker EricPresident & COO
OtherCommon Shares 16,003 $5.00 $80,015.00
Disclosure

SEC source: 0001140361-22-042829 · form4.xml · nonDerivative · entry 1

Venker Eric · CIK 0001801917 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,033,847

F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs.

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November 20, 2022 Filed Nov 22, 2022 23:33 UTC
Kumar RakhiChief Accounting Officer
OtherCommon Shares 1,584 $5.00 $7,920.00
Disclosure

SEC source: 0001140361-22-042831 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,770

F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs.

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November 20, 2022 Filed Nov 22, 2022 23:31 UTC
Gline MatthewDirector · CEO
OtherCommon Shares 19,373 $5.00 $96,865.00
Disclosure

SEC source: 0001140361-22-042830 · form4.xml · nonDerivative · entry 1

Gline Matthew · CIK 0001750094 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,144,636

F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs.

Read SEC document
November 10, 2022 Filed Nov 15, 2022 02:47 UTC
QVT Financial LPDirector · 10% owner · Director by Deputization
SaleCommon Shares 146,079 $4.75 $693,875.25
Disclosure

SEC source: 0000899243-22-035818 · doc4.xml · nonDerivative · entry 6

QVT Financial LP · CIK 0001290162 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT P&E Roiv Hldgs Ltd.

Disclosed balance after: 5,470,181

F2 · ownership.direct: Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 122,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.

F3 · ownership.nature: QVT provides certain investment advisory services for, and thereby may be deemed to beneficially own the Shares held by, Fourth Avenue, QVT P&E, QVT DCH and QVT FIC. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein, and the inclusion of these Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:47 UTC
QVT Financial LPDirector · 10% owner · Director by Deputization
SaleCommon Shares 2,311,643 $4.75 $10,980,304.25
Disclosure

SEC source: 0000899243-22-035818 · doc4.xml · nonDerivative · entry 5

QVT Financial LP · CIK 0001290162 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Deferred Compensation Holdings Ltd.

Disclosed balance after: 28,010,344

F2 · ownership.direct: Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 122,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.

F3 · ownership.nature: QVT provides certain investment advisory services for, and thereby may be deemed to beneficially own the Shares held by, Fourth Avenue, QVT P&E, QVT DCH and QVT FIC. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein, and the inclusion of these Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:47 UTC
QVT Financial LPDirector · 10% owner · Director by Deputization
SaleCommon Shares 372,427 $4.75 $1,769,028.25
Disclosure

SEC source: 0000899243-22-035818 · doc4.xml · nonDerivative · entry 4

QVT Financial LP · CIK 0001290162 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Roiv Hldgs Onshore Ltd.

Disclosed balance after: 13,535,929

F2 · ownership.direct: Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 122,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.

F4 · ownership.nature: QVT is the investment manager of QVT Roiv, shares voting and investment control over the Shares held directly by QVT Roiv and therefore may be deemed to beneficially own such Shares. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein, and the inclusion of these Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:47 UTC
QVT Financial LPDirector · 10% owner · Director by Deputization
SaleCommon Shares 1,733,577 $4.75 $8,234,490.75
Disclosure

SEC source: 0000899243-22-035818 · doc4.xml · nonDerivative · entry 3

QVT Financial LP · CIK 0001290162 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Roiv Hldgs Offshore Ltd.

Disclosed balance after: 37,925,362

F2 · ownership.direct: Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 122,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.

F4 · ownership.nature: QVT is the investment manager of QVT Roiv, shares voting and investment control over the Shares held directly by QVT Roiv and therefore may be deemed to beneficially own such Shares. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein, and the inclusion of these Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:47 UTC
QVT Financial LPDirector · 10% owner · Director by Deputization
SaleCommon Shares 1,092,355 $4.75 $5,188,686.25
Disclosure

SEC source: 0000899243-22-035818 · doc4.xml · nonDerivative · entry 2

QVT Financial LP · CIK 0001290162 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Financial Investment Cayman Ltd.

Disclosed balance after: 37,489,959

F2 · ownership.direct: Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 122,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.

F3 · ownership.nature: QVT provides certain investment advisory services for, and thereby may be deemed to beneficially own the Shares held by, Fourth Avenue, QVT P&E, QVT DCH and QVT FIC. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein, and the inclusion of these Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:44 UTC SaleCommon Shares 146,079 $4.75 $693,875.25
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 7

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT P&E Roiv Hldgs Ltd.

Disclosed balance after: 5,470,181

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

F7 · ownership.nature: The reporting person is one of two directors of QVT P&E Roiv Hldgs Ltd. ("QVT P&E") and QVT Deferred Compensation Holdings Ltd ("QVT DCH"), sharing voting and investment control over the Common Shares held directly by QVT P&E and QVT DCH.

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November 10, 2022 Filed Nov 15, 2022 02:44 UTC SaleCommon Shares 2,311,643 $4.75 $10,980,304.25
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 6

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Deferred Compensation Holdings Ltd.

Disclosed balance after: 28,010,344

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

F7 · ownership.nature: The reporting person is one of two directors of QVT P&E Roiv Hldgs Ltd. ("QVT P&E") and QVT Deferred Compensation Holdings Ltd ("QVT DCH"), sharing voting and investment control over the Common Shares held directly by QVT P&E and QVT DCH.

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November 10, 2022 Filed Nov 15, 2022 02:44 UTC SaleCommon Shares 372,427 $4.75 $1,769,028.25
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 5

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Roiv Hldgs Onshore Ltd.

Disclosed balance after: 13,535,929

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

F6 · ownership.nature: QVT Financial LP, a Delaware limited partnership, is the investment manager of QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. ("QVT Roiv"), and shares voting and investment control over the Common Shares held directly by QVT Roiv. QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT Financial LP. The reporting person is a Managing Member of QVT Financial GP, sharing voting and investment control over the Common Shares held directly by QVT Roiv and may be deemed to beneficially own such Common Shares.

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November 10, 2022 Filed Nov 15, 2022 02:44 UTC SaleCommon Shares 1,733,577 $4.75 $8,234,490.75
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 4

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Roiv Hldgs Offshore Ltd.

Disclosed balance after: 37,925,362

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

F6 · ownership.nature: QVT Financial LP, a Delaware limited partnership, is the investment manager of QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. ("QVT Roiv"), and shares voting and investment control over the Common Shares held directly by QVT Roiv. QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT Financial LP. The reporting person is a Managing Member of QVT Financial GP, sharing voting and investment control over the Common Shares held directly by QVT Roiv and may be deemed to beneficially own such Common Shares.

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November 10, 2022 Filed Nov 15, 2022 02:44 UTC SaleCommon Shares 1,092,355 $4.75 $5,188,686.25
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 3

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Financial Investment Cayman Ltd.

Disclosed balance after: 37,489,959

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The reporting person is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Common Shares held directly by QVT FIC.

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November 10, 2022 Filed Nov 15, 2022 02:44 UTC GiftCommon Shares 750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 2

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,142

F4 · kind: Reporting Person received these shares in the distribution described in (1) above which is exempted under 16a-13 as a change in form of beneficial ownership and subsequently gifted them to a charitable foundation, which is subject to a lock-up.

F4 · price: Reporting Person received these shares in the distribution described in (1) above which is exempted under 16a-13 as a change in form of beneficial ownership and subsequently gifted them to a charitable foundation, which is subject to a lock-up.

F5 · balance_after: The amount of securities owned after the reported transaction reflects an annual award of restricted stock units with respect to Common Shares ("RSUs") granted pursuant to the Company's 2021 Equity Incentive Plan and the Company's Non-Employee Director Compensation Policy. The award of RSUs is scheduled to vest 100% on September 15, 2023, subject generally to the reporting person's continuous service through such date.

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November 10, 2022 Filed Nov 15, 2022 02:43 UTC SaleCommon Shares 146,079 $4.75 $693,875.25
Disclosure

SEC source: 0000899243-22-035815 · doc4.xml · nonDerivative · entry 5

MANCHESTER KEITH S · CIK 0001244828 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT P&E Roiv Hldgs Ltd.

Disclosed balance after: 5,470,181

F2 · ownership.nature: The reporting person is a shareholder of each of QVT Roiv Hldgs Onshore Ltd., QVT Deferred Compensation Holdings Ltd., QVT P&E Roiv Hldgs Ltd. and QVT Financial Investment Cayman Ltd. (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:43 UTC SaleCommon Shares 2,311,643 $4.75 $10,980,304.25
Disclosure

SEC source: 0000899243-22-035815 · doc4.xml · nonDerivative · entry 4

MANCHESTER KEITH S · CIK 0001244828 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Deferred Compensation Holdings Ltd.

Disclosed balance after: 28,010,344

F2 · ownership.nature: The reporting person is a shareholder of each of QVT Roiv Hldgs Onshore Ltd., QVT Deferred Compensation Holdings Ltd., QVT P&E Roiv Hldgs Ltd. and QVT Financial Investment Cayman Ltd. (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:43 UTC SaleCommon Shares 372,427 $4.75 $1,769,028.25
Disclosure

SEC source: 0000899243-22-035815 · doc4.xml · nonDerivative · entry 3

MANCHESTER KEITH S · CIK 0001244828 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Roiv Hldgs Onshore Ltd.

Disclosed balance after: 13,535,929

F2 · ownership.nature: The reporting person is a shareholder of each of QVT Roiv Hldgs Onshore Ltd., QVT Deferred Compensation Holdings Ltd., QVT P&E Roiv Hldgs Ltd. and QVT Financial Investment Cayman Ltd. (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 15, 2022 02:43 UTC SaleCommon Shares 1,092,355 $4.75 $5,188,686.25
Disclosure

SEC source: 0000899243-22-035815 · doc4.xml · nonDerivative · entry 2

MANCHESTER KEITH S · CIK 0001244828 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Financial Investment Cayman Ltd.

Disclosed balance after: 37,489,959

F2 · ownership.nature: The reporting person is a shareholder of each of QVT Roiv Hldgs Onshore Ltd., QVT Deferred Compensation Holdings Ltd., QVT P&E Roiv Hldgs Ltd. and QVT Financial Investment Cayman Ltd. (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

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November 10, 2022 Filed Nov 14, 2022 13:40 UTC
Oren Dan10% owner
PurchaseCommon Shares 4,000,000 $5.00 $20,000,000.00
Disclosure

SEC source: 0001104659-22-117847 · tm2230168d1_4.xml · nonDerivative · entry 1

Dexcel Pharma Technologies Ltd. · CIK 0001720007 · 10% owner

Dexxon Holdings Ltd. · CIK 0001636684 · 10% owner

Oren Dan · CIK 0001636701 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,849,443

F1 · shares: Dexcel Pharma Technologies Ltd. ("Dexcel") is the direct beneficial holder of 4,684,130 common shares. Dexxon Holding Ltd. ("Dexxon") is the direct beneficial holder of 98,165,313 common shares. Dan Oren is the Executive Chairman of Dexcel and the sole director of Dexxon and is ultimately the sole shareholder of each entity.

F2 · price: The common shares were purchased by Dexcel in a registered public offering on November 10, 2022.

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November 10, 2022 Filed Nov 16, 2022 02:00 UTC SaleCommon Shares 4,343,919 $4.75 $20,633,615.25
Disclosure

SEC source: 0000899243-22-035945 · doc4.xml · nonDerivative · entry 1

SVF Investments (UK) Ltd · CIK 0001716729 · 10% owner

SoftBank Vision Fund L.P. · CIK 0001699940 · 10% owner

SVF Holdings (UK) LLP · CIK 0001716727 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 95,031,667

F1 · ownership.nature: Securities held of record by SVF Investments (UK) Limited ("SVF Investments"). Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Investments. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as the alternative investment fund manager ("AIFM") of SoftBank Vision Fund L.P. SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund L.P.'s investments.

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November 09, 2022 Filed Nov 15, 2022 02:47 UTC
QVT Financial LPDirector · 10% owner · Director by Deputization
OtherCommon Shares 1,196,200 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-035818 · doc4.xml · nonDerivative · entry 1

QVT Financial LP · CIK 0001290162 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Financial Investment Cayman Ltd.

Disclosed balance after: 38,582,314

F1 · price: 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.

F2 · ownership.direct: Aggregately, following the transactions described above, QVT Financial LP ("QVT"), a Delaware limited partnership, may be deemed to be the beneficial owner of 122,541,536 common shares (the "Shares") of Roivant Sciences Ltd., consisting of the Shares owned by QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC"). QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT and may be deemed to beneficially own the same number of Shares reported by QVT.

F3 · ownership.nature: QVT provides certain investment advisory services for, and thereby may be deemed to beneficially own the Shares held by, Fourth Avenue, QVT P&E, QVT DCH and QVT FIC. QVT disclaims beneficial ownership of such Shares, except to the extent of any pecuniary interest therein, and the inclusion of these Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 or for any other purpose.

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November 09, 2022 Filed Nov 15, 2022 02:44 UTC OtherCommon Shares 1,196,200 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-035816 · doc4.xml · nonDerivative · entry 1

Gold Daniel Allen · CIK 0001832142 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Financial Investment Cayman Ltd.

Disclosed balance after: 38,582,314

F1 · price: 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.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The reporting person is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Common Shares held directly by QVT FIC.

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November 09, 2022 Filed Nov 15, 2022 02:43 UTC OtherCommon Shares 1,196,200 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-035815 · doc4.xml · nonDerivative · entry 1

MANCHESTER KEITH S · CIK 0001244828 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by QVT Financial Investment Cayman Ltd.

Disclosed balance after: 38,582,314

F1 · price: Shares were distributed in-kind to certain shareholders of QVT Financial Investment Cayman Ltd. who subsequently gifted the shares to charitable foundations, each of which is subject to a lock-up.

F2 · ownership.nature: The reporting person is a shareholder of each of QVT Roiv Hldgs Onshore Ltd., QVT Deferred Compensation Holdings Ltd., QVT P&E Roiv Hldgs Ltd. and QVT Financial Investment Cayman Ltd. (the "QVT Entities") but does not have any voting or investment control over the QVT Entities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

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October 31, 2022 Filed Nov 2, 2022 21:57 UTC GrantCommon Shares 3,404 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-039660 · form4.xml · nonDerivative · entry 1

MOMTAZEE JAMES C · CIK 0001209181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,327

F1 · shares: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

F1 · price: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

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October 31, 2022 Filed Nov 2, 2022 21:58 UTC
Oren IlanDirector
GrantCommon Shares 2,796 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-039661 · form4.xml · nonDerivative · entry 1

Oren Ilan · CIK 0001643073 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,161

F1 · shares: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

F1 · price: Reflects an award of Common Shares received pursuant to the Company's Non-Employee Director Compensation Plan that was fully vested as of the grant date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.