organization · Reporting owner
MGG Strategic SICAF SIF S.A. - MGG Strategic
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Royalty Pharma plcRPRX · Entity 3100 | 10% owner | December 01, 2022 | December 05, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Royalty Pharma plc
Report date December 01, 2022 · Filed December 05, 2022
Jointly reported with Giuliani Mario Germano, MGG Strategic SICAF SIF S.A., Skyeline Management Ltd, Avara Management Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnotes | 22,225,000 |
Reported balance
After 2022-12-01 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2022-12-01 · Sale · Disposed 165,000 · Balance 22,225,000 F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.005 to $44.19 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. F1: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. |
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnotes | 7,879,374 |
Reported balance
After 2022-12-02 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2022-12-02 · Sale · Disposed 197,766 · Balance 7,879,374 F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.80 to $44.20 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. F2: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. F3: Reflects securities held directly by Skyeline Management Ltd. Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. |
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnotes | 50,000 |
Reported balance
Holding disclosure · report date 2022-12-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 50,000 F2: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. F4: Reflects securities held by the spouse of M. Germano Giuliani. |
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnotes | 3,477,520 |
Reported balance
Holding disclosure · report date 2022-12-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 3,477,520 F2: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. F5: Reflects securities held directly by Avara Management Ltd. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust.
F2: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16.
F3: Reflects securities held directly by Skyeline Management Ltd. Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani.
F4: Reflects securities held by the spouse of M. Germano Giuliani.
F5: Reflects securities held directly by Avara Management Ltd.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.005 to $44.19 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.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.80 to $44.20 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 02, 2022 Filed Dec 5, 2022 21:44 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 197,766 | $43.98 | $8,697,412.48 |
DisclosureSEC source: 0001140361-22-044471 · form4.xml · nonDerivative · entry 2 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,879,374 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.80 to $44.20 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. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. F3 · ownership.nature: Reflects securities held directly by Skyeline Management Ltd. Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:44 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 165,000 | $44.11 | $7,277,325.00 |
DisclosureSEC source: 0001140361-22-044471 · form4.xml · nonDerivative · entry 1 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 22,225,000 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.005 to $44.19 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. F1 · ownership.nature: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| September 21, 2022 Filed Sep 22, 2022 20:31 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 125,697 | $41.25 | $5,185,378.34 |
DisclosureSEC source: 0001140361-22-034416 · form4.xml · nonDerivative · entry 3 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,321,113 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.545 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. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. F3 · ownership.nature: Reflects securities held directly by Skyeline Management Ltd. Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. Read SEC document |
| September 20, 2022 Filed Sep 22, 2022 20:31 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 130,330 | $41.02 | $5,345,511.02 |
DisclosureSEC source: 0001140361-22-034416 · form4.xml · nonDerivative · entry 2 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,446,810 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.19 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. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. F3 · ownership.nature: Reflects securities held directly by Skyeline Management Ltd. Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. Read SEC document |
| September 20, 2022 Filed Sep 22, 2022 20:31 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 267,815 | $41.02 | $10,985,664.17 |
DisclosureSEC source: 0001140361-22-034416 · form4.xml · nonDerivative · entry 1 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 22,390,000 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.55 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. F1 · ownership.nature: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| September 19, 2022 Filed Sep 20, 2022 20:30 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 232,185 | $41.50 | $9,635,677.50 |
DisclosureSEC source: 0001140361-22-034012 · form4.xml · nonDerivative · entry 2 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 22,657,815 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.995 to $41.79 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. F1 · ownership.nature: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| September 16, 2022 Filed Sep 20, 2022 20:30 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 154,986 | $41.72 | $6,466,139.91 |
DisclosureSEC source: 0001140361-22-034012 · form4.xml · nonDerivative · entry 1 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 22,890,000 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.325 to $42.06 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. F1 · ownership.nature: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| September 15, 2022 Filed Sep 16, 2022 21:09 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 154,154 | $42.26 | $6,514,887.18 |
DisclosureSEC source: 0001140361-22-033647 · form4.xml · nonDerivative · entry 2 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 23,044,986 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.08 to $42.625 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. F1 · ownership.nature: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| September 14, 2022 Filed Sep 16, 2022 21:09 UTC | Royalty Pharma plc RPRX · Entity 3100 | SaleClass A Ordinary Shares | 190,860 | $42.48 | $8,108,038.18 |
DisclosureSEC source: 0001140361-22-033647 · form4.xml · nonDerivative · entry 1 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner MGG Strategic SICAF SIF S.A. · CIK 0001922189 · 10% owner MGG Strategic SICAF SIF S.A. - MGG Strategic · CIK 0001814889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 23,199,140 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.275 to $42.87 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. F1 · ownership.nature: Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. F2 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than the direct holder to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionLP interests in RPI International Holdings 2019, LP · Derivative | 2,292,617 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · derivative · entry 11 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 178,821 Underlying: Class A Ordinary Shares · 22,926,170 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F5 · derivative.exercise_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F5 · derivative.expiration_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F8 · balance_after: All of these interests are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. F13 · ownership.nature: Reflects securities held directly by Nogra Group SICAF SIF GG Strategic ("GG Strategic", and together with MGG Strategic, the "Nogra Funds") F14 · ownership.nature: The Nogra Funds are sub-funds managed and administered by Nogra Group SICAF - SIF S.A. ("Nogra Group"). A board of directors consisting of Giammaria Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by Nogra Group. Each member of the board disclaims beneficial ownership over such shares. Nogra Group is owned by the GG Trust, of which Giammaria Giuliani is the beneficiary, and the MGG Trust (together with the GG Trust, the "Trusts"), of which M. Germano Giuliani, the brother of Giammaria Giuliani, is the beneficiary. The GG Trust is the 100% economic owner of the shares held by GG Strategic, and the MGG Trust is the 100% economic owner of the shares held by MGG Strategic. Each of Giammaria Giuliani and M. Germano Giuliani disclaim beneficial ownership over the shares beneficially owned by the Nogra Funds. F15 · ownership.nature: The trustee of each of the Trusts is GISEV Trustees Limited. The protector of each of the Trusts is Achille G. Severgnini, who has the power to remove and replace the trustee of each the Trusts. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionLP interests in RPI International Holdings 2019, LP · Derivative | 2,339,999 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · derivative · entry 10 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 182,438 Underlying: Class A Ordinary Shares · 23,390,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F5 · derivative.exercise_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F5 · derivative.expiration_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F8 · balance_after: All of these interests are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. F12 · ownership.nature: Reflects securities held directly by Nogra Group SICAF SIF MGG Strategic ("MGG Strategic"). F14 · ownership.nature: The Nogra Funds are sub-funds managed and administered by Nogra Group SICAF - SIF S.A. ("Nogra Group"). A board of directors consisting of Giammaria Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by Nogra Group. Each member of the board disclaims beneficial ownership over such shares. Nogra Group is owned by the GG Trust, of which Giammaria Giuliani is the beneficiary, and the MGG Trust (together with the GG Trust, the "Trusts"), of which M. Germano Giuliani, the brother of Giammaria Giuliani, is the beneficiary. The GG Trust is the 100% economic owner of the shares held by GG Strategic, and the MGG Trust is the 100% economic owner of the shares held by MGG Strategic. Each of Giammaria Giuliani and M. Germano Giuliani disclaim beneficial ownership over the shares beneficially owned by the Nogra Funds. F15 · ownership.nature: The trustee of each of the Trusts is GISEV Trustees Limited. The protector of each of the Trusts is Achille G. Severgnini, who has the power to remove and replace the trustee of each the Trusts. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionLP interests in RPI International Holdings 2019, LP · Derivative | 347,752 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · derivative · entry 9 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,032 Underlying: Class A Ordinary Shares · 3,477,520 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F5 · derivative.exercise_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F5 · derivative.expiration_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F8 · balance_after: All of these interests are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. F10 · ownership.nature: Reflects securities held directly by Avara Management Ltd. F11 · ownership.nature: Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionLP interests in RPI International Holdings 2019, LP · Derivative | 907,714 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · derivative · entry 8 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 70,800 Underlying: Class A Ordinary Shares · 9,077,140 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F5 · derivative.exercise_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F5 · derivative.expiration_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F8 · balance_after: All of these interests are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. F9 · ownership.nature: Reflects securities held directly by Skyeline Management Ltd. F11 · ownership.nature: Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | PurchaseClass A Ordinary Shares | 50,000 | $28.00 | $1,400,000.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · nonDerivative · entry 5 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 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: 50,000 F3 · kind: Reflects shares acquired in a directed share program in connection with the Issuer's initial public offering. F16 · ownership.nature: Reflects securities held by the spouse of M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionClass A Ordinary Shares | 22,926,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · nonDerivative · entry 4 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 22,926,170 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F1 · price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F13 · ownership.nature: Reflects securities held directly by Nogra Group SICAF SIF GG Strategic ("GG Strategic", and together with MGG Strategic, the "Nogra Funds") F14 · ownership.nature: The Nogra Funds are sub-funds managed and administered by Nogra Group SICAF - SIF S.A. ("Nogra Group"). A board of directors consisting of Giammaria Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by Nogra Group. Each member of the board disclaims beneficial ownership over such shares. Nogra Group is owned by the GG Trust, of which Giammaria Giuliani is the beneficiary, and the MGG Trust (together with the GG Trust, the "Trusts"), of which M. Germano Giuliani, the brother of Giammaria Giuliani, is the beneficiary. The GG Trust is the 100% economic owner of the shares held by GG Strategic, and the MGG Trust is the 100% economic owner of the shares held by MGG Strategic. Each of Giammaria Giuliani and M. Germano Giuliani disclaim beneficial ownership over the shares beneficially owned by the Nogra Funds. F15 · ownership.nature: The trustee of each of the Trusts is GISEV Trustees Limited. The protector of each of the Trusts is Achille G. Severgnini, who has the power to remove and replace the trustee of each the Trusts. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionClass A Ordinary Shares | 23,390,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · nonDerivative · entry 3 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 23,390,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F1 · price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F12 · ownership.nature: Reflects securities held directly by Nogra Group SICAF SIF MGG Strategic ("MGG Strategic"). F14 · ownership.nature: The Nogra Funds are sub-funds managed and administered by Nogra Group SICAF - SIF S.A. ("Nogra Group"). A board of directors consisting of Giammaria Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by Nogra Group. Each member of the board disclaims beneficial ownership over such shares. Nogra Group is owned by the GG Trust, of which Giammaria Giuliani is the beneficiary, and the MGG Trust (together with the GG Trust, the "Trusts"), of which M. Germano Giuliani, the brother of Giammaria Giuliani, is the beneficiary. The GG Trust is the 100% economic owner of the shares held by GG Strategic, and the MGG Trust is the 100% economic owner of the shares held by MGG Strategic. Each of Giammaria Giuliani and M. Germano Giuliani disclaim beneficial ownership over the shares beneficially owned by the Nogra Funds. F15 · ownership.nature: The trustee of each of the Trusts is GISEV Trustees Limited. The protector of each of the Trusts is Achille G. Severgnini, who has the power to remove and replace the trustee of each the Trusts. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionClass A Ordinary Shares | 3,477,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · nonDerivative · entry 2 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,477,520 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F1 · price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F10 · ownership.nature: Reflects securities held directly by Avara Management Ltd. F11 · ownership.nature: Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | ConversionClass A Ordinary Shares | 9,077,140 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · nonDerivative · entry 1 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 9,077,140 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F2 · kind: This exchange was effected by the General Partner of RPI Intl. LP in accordance with a provision of the Limited Partnership Agreement of RPI Intl. LP applicable in the event of the public offering of the Issuer's Class A Ordinary Shares. The exchange applied to all holders of RPI Intl. LP Interests that did not opt out of participation. F1 · price: These Class A Ordinary Shares were received in exchange for limited partnership interests in RPI International Holdings 2019, LP ("RPI Intl. LP"). Each limited partnership interest in RPI Intl. LP ("RPI Intl. LP Interest") was exchanged for ten Class B Interests in Royalty Pharma Holdings Ltd, ("Holdings"). Each Class B Interest in Holdings so distributed was exchanged for one Class A Ordinary Share of the Issuer. This exchange was made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Company, Royalty Pharma Holdings Limited, RPI US Partners 2019, LP, RPI Intl. LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value was paid in connection with the exchange. F9 · ownership.nature: Reflects securities held directly by Skyeline Management Ltd. F11 · ownership.nature: Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 15, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | GrantLP interests in RPI International Holdings 2019, LP · Derivative | 349,784 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · derivative · entry 7 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 349,784 Underlying: Class A Ordinary Shares · 3,497,840 shares Expires not disclosed F4 · kind: Reflects the acquisition of beneficial ownership of Class B Interests in Royalty Pharma Holdings Ltd. and the entitlement to indirect rights to exchange such Class B Interests for Class A Ordinary Shares of the Issuer in connection with a reorganization prior to closing of the Issuer's initial public offering (as more fully described in the Issuer's Registration Statement on Form S-1 (File No. 333-238632)). The reorganization involved the exchange of interests in Royalty Pharma Investments 2019 ICAV held by RPI US Partners 2019, LP and RPI International Holdings 2019, LP for interests in Royalty Pharma Holdings, Ltd. The reorganization and the acquisition of these exchange rights occurred on June 15, 2020. F4 · price: Reflects the acquisition of beneficial ownership of Class B Interests in Royalty Pharma Holdings Ltd. and the entitlement to indirect rights to exchange such Class B Interests for Class A Ordinary Shares of the Issuer in connection with a reorganization prior to closing of the Issuer's initial public offering (as more fully described in the Issuer's Registration Statement on Form S-1 (File No. 333-238632)). The reorganization involved the exchange of interests in Royalty Pharma Investments 2019 ICAV held by RPI US Partners 2019, LP and RPI International Holdings 2019, LP for interests in Royalty Pharma Holdings, Ltd. The reorganization and the acquisition of these exchange rights occurred on June 15, 2020. F5 · derivative.exercise_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F7 · derivative.exercise_date: Includes RPI Intl. LP Interests convertible into 20,320 Class A Ordinary Shares that are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. F5 · derivative.expiration_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F10 · ownership.nature: Reflects securities held directly by Avara Management Ltd. F11 · ownership.nature: Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
| June 15, 2020 Filed Jun 22, 2020 21:47 UTC | Royalty Pharma plc RPRX · Entity 3100 | GrantLP interests in RPI International Holdings 2019, LP · Derivative | 978,514 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001140361-20-014508 · form4.xml · derivative · entry 6 Giuliani Mario Germano · CIK 0001814882 · Director · 10% owner Skyeline Management Ltd · CIK 0001814877 · 10% owner Avara Management Ltd · CIK 0001814934 · 10% owner Nogra Group SICAF SIF MGG Strategic · CIK 0001814889 · 10% owner Nogra Group SICAF SIF GG Strategic · CIK 0001814890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 978,514 Underlying: Class A Ordinary Shares · 9,785,140 shares Expires not disclosed F4 · kind: Reflects the acquisition of beneficial ownership of Class B Interests in Royalty Pharma Holdings Ltd. and the entitlement to indirect rights to exchange such Class B Interests for Class A Ordinary Shares of the Issuer in connection with a reorganization prior to closing of the Issuer's initial public offering (as more fully described in the Issuer's Registration Statement on Form S-1 (File No. 333-238632)). The reorganization involved the exchange of interests in Royalty Pharma Investments 2019 ICAV held by RPI US Partners 2019, LP and RPI International Holdings 2019, LP for interests in Royalty Pharma Holdings, Ltd. The reorganization and the acquisition of these exchange rights occurred on June 15, 2020. F4 · price: Reflects the acquisition of beneficial ownership of Class B Interests in Royalty Pharma Holdings Ltd. and the entitlement to indirect rights to exchange such Class B Interests for Class A Ordinary Shares of the Issuer in connection with a reorganization prior to closing of the Issuer's initial public offering (as more fully described in the Issuer's Registration Statement on Form S-1 (File No. 333-238632)). The reorganization involved the exchange of interests in Royalty Pharma Investments 2019 ICAV held by RPI US Partners 2019, LP and RPI International Holdings 2019, LP for interests in Royalty Pharma Holdings, Ltd. The reorganization and the acquisition of these exchange rights occurred on June 15, 2020. F5 · derivative.exercise_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F6 · derivative.exercise_date: Includes RPI Intl. LP Interests convertible into 708,000 Class A Ordinary Shares that are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. F5 · derivative.expiration_date: Each RPI Intl. LP Interest represents a right to direct RPI Intl. Holdings as to the voting of ten Class B Shares of the Issuer, and to receive a distribution of ten Class B Interests in Holdings along with ten Class B Shares of the Issuer at any time and for no additional value, and shall not expire until so converted. Each Class B Interest in Holdings and accompanying Class B Share of the Issuer so distributed will be exchanged upon such distribution for one Class A Ordinary Share of the Issuer for no additional value. Each Class B Share of the Issuer has no economic value and entitles the holder to one vote per share. F9 · ownership.nature: Reflects securities held directly by Skyeline Management Ltd. F11 · ownership.nature: Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. F17 · ownership.nature: Each of the Reporting Persons may be deemed to beneficially own the securities reported herein directly or indirectly controlled by it or him, but each (other than each of the direct holders to the extent of its direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein or are subject to Section 16. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.