Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arbutus Biopharma CorpABUS · Entity 4953 | Director · 10% owner | February 24, 2025 | March 06, 2025 |
| Roivant Sciences Ltd.ROIV · Entity 3185 | Director · CEO | September 30, 2026 | October 03, 2026 |
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.
Arbutus Biopharma Corp
Report date February 24, 2025 · Filed March 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectBy Roivant Sciences Ltd. | 38,847,462 |
Reported balance
Holding disclosure · report date 2025-02-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 38,847,462 F1: The Reporting Person is the Principal Executive Officer and a director of Roivant Sciences Ltd. (''Roivant'') and may be deemed to have beneficial ownership of the securities of the Issuer held by Roivant. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is the Principal Executive Officer and a director of Roivant Sciences Ltd. (''Roivant'') and may be deemed to have beneficial ownership of the securities of the Issuer held by Roivant. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Roivant Sciences Ltd.
Report date September 30, 2026 · Filed October 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 16,583,774 |
Reported balance
After 2026-09-30 transaction · row 1
1 source rowRow 1 · 2026-09-30 · Tax withholding · Disposed 76,171 · Balance 16,583,774 F1: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 20, 2023 Filed Dec 23, 2023 00:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Tax withholdingCommon Shares | 10,945 | $9.96 | $109,012.20 |
DisclosureSEC source: 0001140361-23-059240 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,006,488 F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs. Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 02:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 11,318 | $8.68 | $98,240.24 |
DisclosureSEC source: 0001140361-23-054757 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,017,433 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| October 24, 2023 Filed Oct 27, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 12,489 | $8.99 | $112,276.11 |
DisclosureSEC source: 0001140361-23-049763 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,028,751 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| September 28, 2023 Filed Sep 30, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 10,243 | $12.67 | $129,778.81 |
DisclosureSEC source: 0001140361-23-046108 · form4.xml · nonDerivative · entry 2 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,041,240 F4 · kind: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of the CVARs. This sale was effected pursuant to the issuer's "sell to cover" policy and does not represent a discretionary sale by the reporting person. F5 · price: The price reported in this column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $13.20, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| September 27, 2023 Filed Sep 30, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 47,351 | $11.50 | $544,536.50 |
DisclosureSEC source: 0001140361-23-046108 · form4.xml · derivative · entry 4 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,225,501 Underlying: Common Shares · 4,236 shares Expires 2026-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F3 · derivative.exercise_price: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · derivative.exercise_price: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. F1 · shares: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F3 · shares: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · shares: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. F1 · price: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F3 · price: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F1 · derivative.exercise_date: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F3 · derivative.exercise_date: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · derivative.exercise_date: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. F1 · derivative.underlying_shares: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F3 · derivative.underlying_shares: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. Read SEC document |
| September 27, 2023 Filed Sep 30, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 28,411 | $6.40 | $181,830.40 |
DisclosureSEC source: 0001140361-23-046108 · form4.xml · derivative · entry 3 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,164,836 Underlying: Common Shares · 13,526 shares Expires 2026-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · derivative.exercise_price: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · derivative.exercise_price: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. F7 · derivative.exercise_price: In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. F1 · shares: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · shares: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · shares: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. F1 · price: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · price: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F7 · price: In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. F1 · derivative.exercise_date: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · derivative.exercise_date: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · derivative.exercise_date: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. F1 · derivative.underlying_shares: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · derivative.underlying_shares: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F7 · balance_after: In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. Read SEC document |
| September 27, 2023 Filed Sep 30, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 17,762 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-046108 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,051,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · kind: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F3 · kind: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F1 · price: Reflects the conversion of capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the applicable hurdle price reflected in column 8 of Table II above (such excess, the "CVAR Amount"). F2 · price: On September 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 28,411 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 13,526 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F3 · price: On September 27, 2023, the hurdle price applicable to 47,351 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 4,236 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. Read SEC document |
| September 22, 2023 Filed Sep 27, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 11,227 | $10.19 | $114,403.13 |
DisclosureSEC source: 0001140361-23-045329 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,033,721 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 6,784 | $11.25 | $76,320.00 |
DisclosureSEC source: 0001140361-23-041708 · form4.xml · nonDerivative · entry 2 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,044,948 F2 · kind: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of the CVARs. This sale was effected pursuant to the issuer's "sell to cover" policy and does not represent a discretionary sale by the reporting person. F3 · price: The price reported in this column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.08 to $11.36, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| August 27, 2023 Filed Aug 30, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 12,088 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-041708 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,051,732 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F1 · price: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. Read SEC document |
| August 22, 2023 Filed Aug 25, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 11,015 | $10.83 | $119,292.45 |
DisclosureSEC source: 0001140361-23-041197 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,039,644 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 02, 2023 Filed Aug 4, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 11,749 | $11.79 | $138,520.71 |
DisclosureSEC source: 0001140361-23-037942 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,050,659 F1 · kind: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to the vested CVARs was satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. This sale was effected pursuant to the issuer's "sell to F2 · price: The price reported in this column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.79 to $11.85, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| July 27, 2023 Filed Aug 1, 2023 01:33 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 56,821 | $6.40 | $363,654.40 |
DisclosureSEC source: 0001140361-23-037133 · form4.xml · derivative · entry 2 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,136,426 Underlying: Common Shares · 23,149 shares Expires 2026-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F2 · derivative.exercise_price: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. F1 · shares: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F1 · price: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F1 · derivative.exercise_date: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F1 · derivative.underlying_shares: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F2 · balance_after: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. Read SEC document |
| July 27, 2023 Filed Aug 1, 2023 01:33 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 23,149 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-037133 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,062,408 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F1 · price: Reflects the conversion of 56,821 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On July 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 23,149 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. Read SEC document |
| July 24, 2023 Filed Jul 27, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 11,146 | $10.99 | $122,494.54 |
DisclosureSEC source: 0001140361-23-036310 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,039,259 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| June 22, 2023 Filed Jun 27, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 10,863 | $10.01 | $108,738.63 |
DisclosureSEC source: 0001140361-23-031548 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,050,405 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| May 31, 2023 Filed Jun 1, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 30,266 | $9.09 | $275,117.94 |
DisclosureSEC source: 0001140361-23-027616 · form4.xml · nonDerivative · entry 2 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,061,268 F2 · kind: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of the CVARs. This sale was effected pursuant to the issuer's "sell to cover" policy and does not represent a discretionary sale by the reporting person. F3 · price: The price reported in this column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.95 to $9.31, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| May 27, 2023 Filed Jun 1, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 170,464 | $6.40 | $1,090,969.60 |
DisclosureSEC source: 0001140361-23-027616 · form4.xml · derivative · entry 3 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,193,247 Underlying: Common Shares · 53,281 shares Expires 2026-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F4 · derivative.exercise_price: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. F1 · shares: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F1 · price: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F1 · derivative.exercise_date: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F1 · derivative.underlying_shares: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F4 · balance_after: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. Read SEC document |
| May 27, 2023 Filed Jun 1, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 53,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-027616 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,091,534 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F1 · price: Reflects the conversion of 170,464 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On May 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 53,281 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. Read SEC document |
| May 27, 2023 Filed Aug 30, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 28,410 | $6.40 | $181,824.00 |
DisclosureSEC source: 0001140361-23-041708 · form4.xml · derivative · entry 3 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,193,247 Underlying: Common Shares · 12,088 shares Expires 2026-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F4 · derivative.exercise_price: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. F1 · shares: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F1 · price: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F1 · derivative.exercise_date: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F1 · derivative.underlying_shares: Reflects the conversion of 28,410 capped value appreciation rights ("CVARs") that entitle the reporting person, following the achievement of specified vesting and other conditions, to an amount equal to the product of (i) the number of vested CVARs multiplied by (ii) the excess (if any) of (A) the fair market value of a Common Share (capped at $12.68 per share) as of the relevant date of determination over (B) the hurdle price of $6.40 per share (such excess, the "CVAR Amount"). On August 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 12,088 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F4 · balance_after: This award of CVARs vests (i) 25% on the first anniversary of the vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date, with a vesting commencement date of December 27, 2019. In the event the fair market value of a Common Share is less than $9.20 per share as of the relevant date of determination (the "knock-in condition"), this award of CVARs will remain outstanding unless and until the knock-in condition is satisfied as of any applicable measurement date thereafter before the expiration date of the CVARs. Read SEC document |
| May 23, 2023 Filed May 26, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 18,972 | $9.58 | $181,751.76 |
DisclosureSEC source: 0001140361-23-026781 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,038,253 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| April 20, 2023 Filed Apr 25, 2023 01:28 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Tax withholdingCommon Shares | 19,375 | $8.80 | $170,500.00 |
DisclosureSEC source: 0001140361-23-019993 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,057,225 F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs. Read SEC document |
| March 23, 2023 Filed Mar 28, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 18,563 | $7.30 | $135,509.90 |
DisclosureSEC source: 0001140361-23-014077 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,076,600 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| February 22, 2023 Filed Feb 25, 2023 02:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 14,471 | $8.43 | $121,990.53 |
DisclosureSEC source: 0001140361-23-008666 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,095,163 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4 Read SEC document |
| January 24, 2023 Filed Jan 27, 2023 02:01 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 15,594 | $8.56 | $133,484.64 |
DisclosureSEC source: 0001140361-23-002960 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,109,634 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4 Read SEC document |
| December 23, 2022 Filed Dec 29, 2022 02:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 19,408 | $7.10 | $137,796.80 |
DisclosureSEC source: 0001140361-22-047271 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,125,228 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4 Read SEC document |
| November 20, 2022 Filed Nov 22, 2022 23:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 19,373 | $5.00 | $96,865.00 |
DisclosureSEC source: 0001140361-22-042830 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,144,636 F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs. Read SEC document |
| October 25, 2022 Filed Oct 27, 2022 22:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 19,276 | $4.40 | $84,814.40 |
DisclosureSEC source: 0001140361-22-038695 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,164,009 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| September 23, 2022 Filed Sep 27, 2022 23:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 21,053 | $3.07 | $64,632.71 |
DisclosureSEC source: 0001140361-22-034881 · form4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,183,285 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 24, 2022 Filed Aug 26, 2022 23:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 20,009 | $3.71 | $74,233.39 |
DisclosureSEC source: 0000899243-22-029891 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,204,338 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| July 25, 2022 Filed Jul 28, 2022 01:08 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 20,455 | $4.33 | $88,570.15 |
DisclosureSEC source: 0000899243-22-026925 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,224,347 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| June 23, 2022 Filed Jun 27, 2022 23:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 19,855 | $4.34 | $86,170.70 |
DisclosureSEC source: 0000899243-22-024240 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,244,802 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| May 20, 2022 Filed May 24, 2022 23:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 139,791 | $3.70 | $517,226.70 |
DisclosureSEC source: 0000899243-22-019397 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,264,657 F1 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs. Read SEC document |
| April 25, 2022 Filed Apr 27, 2022 23:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 8,509 | $3.84 | $32,674.56 |
DisclosureSEC source: 0000899243-22-015797 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,404,448 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 23:25 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | GrantStock Option (Right to Buy) · Derivative | 16,523,184 | $0.00 Strike: $3.85 | $0.00 |
DisclosureSEC source: 0000899243-22-015518 · doc4.xml · derivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,523,184 Underlying: Common Shares · 16,523,184 shares Expires 2032-04-19 F1 · derivative.exercise_date: Award of stock options to purchase Common Shares with a vesting commencement date of April 20, 2022. These options vest and become exercisable (i) 25% on the first anniversary of the applicable vesting commencement date and (ii) in 36 equal monthly installments thereafter, subject generally to the reporting person's continuous service through each vesting date (unless otherwise provided in the applicable award documentation). Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 22:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Tax withholdingCommon Shares | 25,254 | $4.74 | $119,703.96 |
DisclosureSEC source: 0000899243-22-013164 · doc4.xml · nonDerivative · entry 2 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,412,957 F3 · shares: Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 22:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 33,686 | $4.84 | $163,040.24 |
DisclosureSEC source: 0000899243-22-013164 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,438,211 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs") previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| March 25, 2022 Filed Mar 29, 2022 22:29 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 35,386 | $5.06 | $179,053.16 |
DisclosureSEC source: 0000899243-22-012701 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,471,897 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting of restricted stock units previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| March 18, 2022 Filed Mar 23, 2022 01:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 82,006 | $5.13 | $420,690.78 |
DisclosureSEC source: 0000899243-22-011863 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,507,283 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting of restricted stock units previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| March 07, 2022 Filed Mar 10, 2022 02:45 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 92,324 | $5.52 | $509,628.48 |
DisclosureSEC source: 0000899243-22-010363 · doc4.xml · nonDerivative · entry 1 Gline Matthew · CIK 0001750094 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,589,289 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting of restricted stock units previously granted to the reporting person. This sale was effected pursuant to a "sell to cover" policy entered into pursuant to the requirements of Rule 10b5-1 and does not represent a discretionary sale by the reporting person. F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.