organization · Reporting owner

VGE III Portfolio Ltd.

Disclosed activity across 5 companies

Tapewire entity: 156036
SEC CIK: 0001621620

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Adaptive Biotechnologies CorpADPT · Entity 1126	10% owner	June 26, 2019	June 26, 2019

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.

Adaptive Biotechnologies Corp

Report date June 26, 2019 · Filed June 26, 2019

Jointly reported with VIKING GLOBAL PERFORMANCE LLC, Viking Global Equities LP, Viking Global Equities II LP, Viking Global Equities Master Ltd., Viking Long Fund GP LLC, Viking Long Fund Master Ltd., HALVORSEN OLE ANDREAS, Ott David C., Shabet Rose Sharon

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Explanation of Responses	1,425,000	Reported balance Holding disclosure · report date 2019-06-26 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,425,000 F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: VGEM directly holds 14,006,625 shares of Series D Preferred Stock, 10,789,973 shares of Series E Preferred Stock, 1,411,467 shares of Series F Preferred Stock and 197,888 shares of Series F-1 Preferred Stock. VGE II directly holds 285,850 shares of Series D Preferred Stock, 220,204 shares of Series E Preferred Stock, 28,805 shares of Series F Preferred Stock and 4,039 shares of Series F-1 Preferred Stock. VLFM directly holds 4,616,470 shares of Series D Preferred Stock, 4,514,173 shares of Series E Preferred Stock, 567,468 shares of Series F Preferred Stock and 88,645 shares of Series F-1 Preferred Stock. Opportunities Fund directly holds 1,425,000 of common stock. F5: VGI provides managerial services to the Viking Funds. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares directly held by the Viking Funds. VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares directly held by VGE II and VGEM. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares directly held by VLFM. F6: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee Explanation of Responses	Not disclosed	Reported balance Holding disclosure · report date 2019-06-26 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F1: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, upon the closing of its initial public offering (the "IPO"), each share of convertible preferred stock will be automatically converted into shares of common stock of the Issuer ("Common Stock") on a one-to-one basis. The 38,156,607 shares of stock reported on this form will convert into 38,156,607 shares of Common Stock upon the closing of the IPO. F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: VGEM directly holds 14,006,625 shares of Series D Preferred Stock, 10,789,973 shares of Series E Preferred Stock, 1,411,467 shares of Series F Preferred Stock and 197,888 shares of Series F-1 Preferred Stock. VGE II directly holds 285,850 shares of Series D Preferred Stock, 220,204 shares of Series E Preferred Stock, 28,805 shares of Series F Preferred Stock and 4,039 shares of Series F-1 Preferred Stock. VLFM directly holds 4,616,470 shares of Series D Preferred Stock, 4,514,173 shares of Series E Preferred Stock, 567,468 shares of Series F Preferred Stock and 88,645 shares of Series F-1 Preferred Stock. Opportunities Fund directly holds 1,425,000 of common stock. F5: VGI provides managerial services to the Viking Funds. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares directly held by the Viking Funds. VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares directly held by VGE II and VGEM. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares directly held by VLFM. F6: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
Series E Preferred StockSEC Table II · derivative / convertible security	IndirectSee Explanation of Responses	Not disclosed	Reported balance Holding disclosure · report date 2019-06-26 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F1: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, upon the closing of its initial public offering (the "IPO"), each share of convertible preferred stock will be automatically converted into shares of common stock of the Issuer ("Common Stock") on a one-to-one basis. The 38,156,607 shares of stock reported on this form will convert into 38,156,607 shares of Common Stock upon the closing of the IPO. F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: VGEM directly holds 14,006,625 shares of Series D Preferred Stock, 10,789,973 shares of Series E Preferred Stock, 1,411,467 shares of Series F Preferred Stock and 197,888 shares of Series F-1 Preferred Stock. VGE II directly holds 285,850 shares of Series D Preferred Stock, 220,204 shares of Series E Preferred Stock, 28,805 shares of Series F Preferred Stock and 4,039 shares of Series F-1 Preferred Stock. VLFM directly holds 4,616,470 shares of Series D Preferred Stock, 4,514,173 shares of Series E Preferred Stock, 567,468 shares of Series F Preferred Stock and 88,645 shares of Series F-1 Preferred Stock. Opportunities Fund directly holds 1,425,000 of common stock. F5: VGI provides managerial services to the Viking Funds. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares directly held by the Viking Funds. VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares directly held by VGE II and VGEM. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares directly held by VLFM. F6: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
Series F Preferred StockSEC Table II · derivative / convertible security	IndirectSee Explanation of Responses	Not disclosed	Reported balance Holding disclosure · report date 2019-06-26 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F1: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, upon the closing of its initial public offering (the "IPO"), each share of convertible preferred stock will be automatically converted into shares of common stock of the Issuer ("Common Stock") on a one-to-one basis. The 38,156,607 shares of stock reported on this form will convert into 38,156,607 shares of Common Stock upon the closing of the IPO. F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: VGEM directly holds 14,006,625 shares of Series D Preferred Stock, 10,789,973 shares of Series E Preferred Stock, 1,411,467 shares of Series F Preferred Stock and 197,888 shares of Series F-1 Preferred Stock. VGE II directly holds 285,850 shares of Series D Preferred Stock, 220,204 shares of Series E Preferred Stock, 28,805 shares of Series F Preferred Stock and 4,039 shares of Series F-1 Preferred Stock. VLFM directly holds 4,616,470 shares of Series D Preferred Stock, 4,514,173 shares of Series E Preferred Stock, 567,468 shares of Series F Preferred Stock and 88,645 shares of Series F-1 Preferred Stock. Opportunities Fund directly holds 1,425,000 of common stock. F5: VGI provides managerial services to the Viking Funds. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares directly held by the Viking Funds. VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares directly held by VGE II and VGEM. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares directly held by VLFM. F6: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
Series F-1 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Explanation of Responses	Not disclosed	Reported balance Holding disclosure · report date 2019-06-26 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F1: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, upon the closing of its initial public offering (the "IPO"), each share of convertible preferred stock will be automatically converted into shares of common stock of the Issuer ("Common Stock") on a one-to-one basis. The 38,156,607 shares of stock reported on this form will convert into 38,156,607 shares of Common Stock upon the closing of the IPO. F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: VGEM directly holds 14,006,625 shares of Series D Preferred Stock, 10,789,973 shares of Series E Preferred Stock, 1,411,467 shares of Series F Preferred Stock and 197,888 shares of Series F-1 Preferred Stock. VGE II directly holds 285,850 shares of Series D Preferred Stock, 220,204 shares of Series E Preferred Stock, 28,805 shares of Series F Preferred Stock and 4,039 shares of Series F-1 Preferred Stock. VLFM directly holds 4,616,470 shares of Series D Preferred Stock, 4,514,173 shares of Series E Preferred Stock, 567,468 shares of Series F Preferred Stock and 88,645 shares of Series F-1 Preferred Stock. Opportunities Fund directly holds 1,425,000 of common stock. F5: VGI provides managerial services to the Viking Funds. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares directly held by the Viking Funds. VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares directly held by VGE II and VGEM. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares directly held by VLFM. F6: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, upon the closing of its initial public offering (the "IPO"), each share of convertible preferred stock will be automatically converted into shares of common stock of the Issuer ("Common Stock") on a one-to-one basis. The 38,156,607 shares of stock reported on this form will convert into 38,156,607 shares of Common Stock upon the closing of the IPO.

F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F3: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F4: VGEM directly holds 14,006,625 shares of Series D Preferred Stock, 10,789,973 shares of Series E Preferred Stock, 1,411,467 shares of Series F Preferred Stock and 197,888 shares of Series F-1 Preferred Stock. VGE II directly holds 285,850 shares of Series D Preferred Stock, 220,204 shares of Series E Preferred Stock, 28,805 shares of Series F Preferred Stock and 4,039 shares of Series F-1 Preferred Stock. VLFM directly holds 4,616,470 shares of Series D Preferred Stock, 4,514,173 shares of Series E Preferred Stock, 567,468 shares of Series F Preferred Stock and 88,645 shares of Series F-1 Preferred Stock. Opportunities Fund directly holds 1,425,000 of common stock.

F5: VGI provides managerial services to the Viking Funds. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares directly held by the Viking Funds. VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares directly held by VGE II and VGEM. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares directly held by VLFM.

F6: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund.

F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Arbutus Biopharma Corp

Report date July 10, 2019 · Filed July 12, 2019

Section 16 reporting ended · disclosed 2019-07-12. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Myovant Sciences Ltd.

Report date July 10, 2019 · Filed July 12, 2019

Section 16 reporting ended · disclosed 2019-07-12. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Sio Gene Therapies Inc.

Report date July 10, 2019 · Filed July 12, 2019

Section 16 reporting ended · disclosed 2019-07-12. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Urovant Sciences Ltd.

Report date July 10, 2019 · Filed July 12, 2019

Section 16 reporting ended · disclosed 2019-07-12. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 19, 2019 Filed Jun 19, 2019 18:29 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	4,957	$8.17	$40,495.22	Disclosure SEC source: 0000903423-19-000253 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,860,013 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.00 to $8.27, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 18, 2019 Filed Jun 19, 2019 18:29 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,706	$8.21	$55,060.95	Disclosure SEC source: 0000903423-19-000253 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,855,056 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.09 to $8.29, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4 F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 17, 2019 Filed Jun 19, 2019 18:29 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,541	$8.53	$55,824.82	Disclosure SEC source: 0000903423-19-000253 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,848,350 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.11 to $8.70, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 14, 2019 Filed Jun 14, 2019 18:16 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,144	$7.91	$56,514.04	Disclosure SEC source: 0000903423-19-000248 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,841,809 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.65 to $8.00, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 13, 2019 Filed Jun 14, 2019 18:16 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,367	$7.95	$58,542.60	Disclosure SEC source: 0000903423-19-000248 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,834,665 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.67 to $8.39, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4 F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 12, 2019 Filed Jun 14, 2019 18:16 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,500	$8.30	$62,244.00	Disclosure SEC source: 0000903423-19-000248 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,827,298 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.16 to $8.77, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 11, 2019 Filed Jun 11, 2019 18:14 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,189	$8.58	$61,693.84	Disclosure SEC source: 0000903423-19-000241 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,819,798 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.41 to $8.75, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 10, 2019 Filed Jun 11, 2019 18:14 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,500	$8.35	$62,594.25	Disclosure SEC source: 0000903423-19-000241 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,812,609 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.89 to $8.68, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 07, 2019 Filed Jun 11, 2019 18:14 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,649	$7.97	$52,959.29	Disclosure SEC source: 0000903423-19-000241 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,805,109 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.73 to $8.10, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 06, 2019 Filed Jun 6, 2019 18:16 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,082	$8.00	$56,621.30	Disclosure SEC source: 0000903423-19-000239 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,798,460 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.73 to $8.57, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 05, 2019 Filed Jun 6, 2019 18:16 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,540	$8.02	$52,418.10	Disclosure SEC source: 0000903423-19-000239 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,791,378 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.68 to $8.33, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 04, 2019 Filed Jun 6, 2019 18:16 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	7,500	$7.59	$56,910.75	Disclosure SEC source: 0000903423-19-000239 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,784,838 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.42 to $7.71, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 04, 2019 Filed Jun 13, 2019 15:45 UTC	Myovant Sciences Ltd. MYOV · Entity 115677	PurchaseCommon Shares, $0.000017727 par value per share	2,424,242	$8.25	$19,999,996.50	Disclosure SEC source: 0000903423-19-000244 · vgpmyov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 40,765,599 F1 · ownership.nature: These shares of common stock (the "Common Shares") were purchased by Roivant Sciences Ltd. ("Roivant") in connection with an underwritten public offering of Common Shares by Myovant Sciences Ltd. The Common Shares are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F2 · ownership.nature: As the approval of the Reporting Persons' Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F4 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
June 03, 2019 Filed Jun 3, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	5,424	$7.71	$41,814.70	Disclosure SEC source: 0000903423-19-000237 · urov4.xml · nonDerivative · entry 4 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,777,338 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 6 and 7 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F5 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.64 to $7.74, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (5) to this Form 4. F6 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F7 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F8 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F9 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 31, 2019 Filed Jun 3, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	5,071	$7.70	$39,042.14	Disclosure SEC source: 0000903423-19-000237 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,771,914 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 6 and 7 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.41 to $7.84, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F6 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F7 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F8 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F9 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 30, 2019 Filed Jun 3, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	300	$8.91	$2,671.98	Disclosure SEC source: 0000903423-19-000237 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,766,843 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 6 and 7 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.71 to $9.03, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4 F6 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F7 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F8 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F9 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 30, 2019 Filed Jun 3, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,951	$7.97	$55,417.54	Disclosure SEC source: 0000903423-19-000237 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,766,543 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 6 and 7 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.70 to $8.70, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4 F6 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F7 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F8 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F9 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 29, 2019 Filed May 29, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,882	$7.55	$51,983.19	Disclosure SEC source: 0000903423-19-000233 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,759,592 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.40 to $7.69, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 28, 2019 Filed May 29, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	3,807	$7.68	$29,244.61	Disclosure SEC source: 0000903423-19-000233 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,752,710 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.65 to $7.70, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 24, 2019 Filed May 29, 2019 18:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	3,796	$7.70	$29,233.38	Disclosure SEC source: 0000903423-19-000233 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,748,903 F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.66 to $7.74, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016. F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Read SEC document
May 23, 2019 Filed May 23, 2019 18:36 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	4,802	$7.76	$37,252.00	Disclosure SEC source: 0000903423-19-000228 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,745,107 F3 · shares: The transaction was a series of open market purchases made under a trading plan established pursuant to Rule 10b5-1 under the Exchange Act and in accordance with the safe harbor of Rule 10b-18 F5 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.645 to $7.98, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (5) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,745,107 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose Read SEC document
May 22, 2019 Filed May 23, 2019 18:36 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	5,033	$8.06	$40,557.93	Disclosure SEC source: 0000903423-19-000228 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,740,305 F3 · shares: The transaction was a series of open market purchases made under a trading plan established pursuant to Rule 10b5-1 under the Exchange Act and in accordance with the safe harbor of Rule 10b-18 F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.825 to $8.43, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,745,107 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose Read SEC document
May 21, 2019 Filed May 23, 2019 18:36 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	9,995	$8.52	$85,108.42	Disclosure SEC source: 0000903423-19-000228 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,735,272 F1 · shares: The transaction was a series of open market purchases made in accordance with the safe harbor of Rule 10b-18 ("Rule 10b-18") under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.31 to $8.69, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,745,107 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose Read SEC document
May 20, 2019 Filed May 20, 2019 21:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	1,715	$8.39	$14,383.19	Disclosure SEC source: 0000903423-19-000224 · urov4.xml · nonDerivative · entry 4 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: Not disclosed F1 · shares: The transaction was a series of open market purchases made in accordance with the safe harbor of Rule 10b-18 under the Securities Exchange Act of 1934, as amended. F5 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.36 to $8.47, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (5) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,725,277 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
May 20, 2019 Filed May 20, 2019 21:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	8,285	$7.98	$66,141.64	Disclosure SEC source: 0000903423-19-000224 · urov4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: Not disclosed F1 · shares: The transaction was a series of open market purchases made in accordance with the safe harbor of Rule 10b-18 under the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.35 to $8.35, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,725,277 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
May 17, 2019 Filed May 20, 2019 21:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	6,200	$7.36	$45,641.30	Disclosure SEC source: 0000903423-19-000224 · urov4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: Not disclosed F1 · shares: The transaction was a series of open market purchases made in accordance with the safe harbor of Rule 10b-18 under the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.03 to $7.85, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,725,277 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
May 16, 2019 Filed May 20, 2019 21:23 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, par value $0.000037453 per share	5,408	$6.79	$36,718.16	Disclosure SEC source: 0000903423-19-000224 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 22,709,077 F1 · shares: The transaction was a series of open market purchases made in accordance with the safe harbor of Rule 10b-18 under the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $6.70 to $6.93, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F6 · ownership.nature: The Reporting Persons do not directly own any shares of common stock (the "Common Shares") of Urovant. The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,725,277 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
March 18, 2019 Filed Mar 19, 2019 17:06 UTC	Sio Gene Therapies Inc. AXON · Entity 130622	PurchaseCommon Shares, par value $0.00001 per share	6,666,667	$1.50	$10,000,000.50	Disclosure SEC source: 0000903423-19-000152 · axon2.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 105,952,381 F1 · kind: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 105,952,381 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). F3 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F4 · ownership.nature: VGP is the general partner of VGE, VGE II and VGEM and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F5 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
December 18, 2018 Filed Dec 20, 2018 09:38 UTC	Sio Gene Therapies Inc. AXON · Entity 130622	PurchaseCommon Shares, par value $0.00001 per share	10,000,000	$1.00	$10,000,000.00	Disclosure SEC source: 0000903423-18-000641 · axon2.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 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: 99,285,714 F1 · kind: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 99,285,714 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F3 · ownership.nature: VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:52 UTC	Urovant Sciences Ltd. UROV · Entity 140739	PurchaseCommon Shares, $0.000037453 par value per share	2,678,571	$14.00	$37,499,994.00	Disclosure SEC source: 0000903423-18-000528 · urov4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 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: 22,703,669 F1 · kind: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Urovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,703,669 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F1 · shares: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Urovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,703,669 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F1 · balance_after: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Urovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 22,703,669 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F3 · ownership.nature: VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
June 05, 2018 Filed Jun 7, 2018 08:21 UTC	Sio Gene Therapies Inc. AXON · Entity 130622	PurchaseCommon Shares, par value $0.00001 per share	14,285,714	$1.75	$24,999,999.50	Disclosure SEC source: 0000903423-18-000325 · axon2.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 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: 89,285,714 F1 · kind: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 89,285,714 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F1 · shares: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 89,285,714 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F1 · balance_after: The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 89,285,714 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F3 · ownership.nature: VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
April 02, 2018 Filed Apr 4, 2018 21:58 UTC	Myovant Sciences Ltd. MYOV · Entity 115677	PurchaseCommon Shares, $0.000017727 par value per share	1,110,015	$20.27	$22,500,004.05	Disclosure SEC source: 0000903423-18-000191 · vikingnyovanttf4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Explanation of Responses Disclosed balance after: 38,341,357 F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F2 · ownership.nature: The Reporting Persons do not directly own any shares of common stock, $0.000017727 par value per share (the "Common Shares"), of Myovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares on December 8, 2015. Roivant directly holds the 38,341,357 Common Shares (the "Roivant Common Shares") reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Roivant Common Shares. F3 · ownership.nature: VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
January 12, 2018 Filed Jan 16, 2018 08:34 UTC	Arbutus Biopharma Corp ABUS · Entity 4953	PurchaseSeries A Participating Convertible Preferred Shares · Derivative	664,000	$100.00 Strike: $7.13	$66,400,000.00	Disclosure SEC source: 0000903423-18-000018 · vikingf4aurbtusfirstt.xml · derivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 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: 1,164,000 Underlying: Common shares, no par value · 13,025,536 shares Expires 2021-10-16 F1 · derivative.exercise_price: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.exercise_price: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · shares: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · shares: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · price: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · price: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · derivative.exercise_date: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.exercise_date: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · derivative.expiration_date: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.expiration_date: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · derivative.underlying_shares: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.underlying_shares: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F4 · ownership.nature: The Reporting Persons do not directly own any equity securities of the Issuer. The Reporting Persons acquired Roivant common shares on December 8, 2015. Roivant directly holds the 1,164,000 Preferred Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Preferred Shares held by Roivant. F5 · ownership.nature: VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document
October 16, 2017 Filed Oct 17, 2017 08:54 UTC	Arbutus Biopharma Corp ABUS · Entity 4953	PurchaseSeries A Participating Convertible Preferred Shares · Derivative	500,000	$100.00 Strike: $7.13	$50,000,000.00	Disclosure SEC source: 0000903423-17-000618 · vikingf4aurbtusfirstt.xml · derivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities LP · CIK 0001101785 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 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: 500,000 Underlying: Common shares, no par value · 9,808,386 shares Expires 2021-10-16 F1 · derivative.exercise_price: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.exercise_price: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · shares: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · shares: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · price: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · price: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · derivative.exercise_date: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.exercise_date: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · derivative.expiration_date: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.expiration_date: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F1 · derivative.underlying_shares: Represents series A participating convertible preferred shares (the "Preferred Shares") purchased by Roivant Sciences Ltd. ("Roivant") for $100.00 per Preferred Share (the "Purchase Price"), which price is subject to increase to reflect the addition of any unpaid participating cash dividends and unpaid participating in-kind dividends. F2 · derivative.underlying_shares: Subject to earlier conversion at Roivant's option upon the occurrence of certain limited events set forth in the amendment to the Notice of Articles and the Articles of the Issuer (the "Preferred Shares Articles Amendment"), the Preferred Shares mandatorily convert on October 16, 2021, to the extent not already converted, into (i) unpaid accrued participating in-kind dividends and cash for any unpaid accrued cash dividends, as set forth in the Preferred Shares Article Amendment, and (ii) common shares of the Issuer, no par value (the "Common Shares"), which is determined by dividing (a) the Purchase Price, plus an amount equal to 8.75% of the Purchase Price per year, compounded annually, by (b) the conversion price in effect at the time of conversion. Each Preferred Share is initially convertible based on a conversion price of $7.13, subject to adjustment for certain distributions and other transactions by the Issuer on or with respect to the Common Shares. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). F4 · ownership.nature: The Reporting Persons do not directly own any equity securities of the Issuer. The Reporting Persons acquired Roivant common shares on December 8, 2015. Roivant directly holds the 500,000 Preferred Shares reported herein. Due to certain governance arrangements set forth in Roivant's bye-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Preferred Shares held by Roivant. F5 · ownership.nature: VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. 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.