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person · Reporting owner

Kumar Rakhi

Disclosed activity across 3 companies

Tapewire entity
36254
SEC CIK
0001856296

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Amanat Acquisition Corp.AMAN · Entity 6741DirectorMay 18, 2026May 19, 2026
NeuroPace IncNPCE · Entity 5459DirectorJune 19, 2026June 22, 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.

Amanat Acquisition Corp.

Report date May 18, 2026 · Filed May 19, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Ordinary SharesSEC Table II · derivative / convertible securityIndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2026-05-18 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: The reporting person beneficially owns 25,000 Class B ordinary shares which will automatically convert into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share sub-divisions, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights as described under the heading "Description of Securities--Founder Shares and Private Placement Shares" in the Issuer's registration statement on Form S-1 (File No. 333-295170) ("Registration Statement") and have no expiration date.

F2: For her services as a director, the Reporting Person receives indirect interest in founder shares through membership interests in the Company's sponsor, Amanat Sponsor Holdings LLC.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person beneficially owns 25,000 Class B ordinary shares which will automatically convert into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share sub-divisions, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights as described under the heading "Description of Securities--Founder Shares and Private Placement Shares" in the Issuer's registration statement on Form S-1 (File No. 333-295170) ("Registration Statement") and have no expiration date.

F2: For her services as a director, the Reporting Person receives indirect interest in founder shares through membership interests in the Company's sponsor, Amanat Sponsor Holdings LLC.

NeuroPace Inc

Report date June 19, 2026 · Filed June 22, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect23,039 Reported balance After 2026-06-19 transaction · row 1
1 source row

Row 1 · 2026-06-19 · Grant · Acquired 989 · Balance 23,039

F1: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Filing footnotes · ownership attribution and instrument terms

F1: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Past disclosures · reporting ended (1)

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

Roivant Sciences Ltd.

Report date February 20, 2025 · Filed February 25, 2025

Section 16 reporting ended · disclosed 2025-02-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeDirect162,306 Reported balance After 2025-02-20 transaction · row 1
1 source row

Row 1 · 2025-02-20 · Tax withholding · Disposed 958 · Balance 162,306

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

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 19, 2026 Filed Jun 22, 2026 20:32 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 989 $15.63 $15,458.07
Disclosure

SEC source: 0001856296-26-000007 · wk-form4_1782160357.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,039

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
June 05, 2026 Filed Jun 5, 2026 21:10 UTC NeuroPace Inc NPCE · Entity 5459 GrantStock Option (Right to Buy) · Derivative 5,368 $0.00 Strike: $15.74 $0.00
Disclosure

SEC source: 0001856296-26-000005 · wk-form4_1780693812.xml · derivative · entry 2

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,368

Underlying: Common Stock · 5,368 shares

Expires 2036-06-04

F2 · derivative.exercise_date: The shares subject to the option shall vest in twelve (12) equal consecutive monthly installments until all of the option shares are fully vested and exercisable, subject to the Reporting Person's continuous service through each vesting date.

Read SEC document
June 05, 2026 Filed Jun 5, 2026 21:10 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 2,890 $0.00 $0.00
Disclosure

SEC source: 0001856296-26-000005 · wk-form4_1780693812.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,050

F1 · shares: The shares shall vest in twelve (12) equal consecutive monthly installments until all of the shares are fully vested, subject to the Reporting Person's continuous service through each vesting date.

Read SEC document
March 20, 2026 Filed Mar 23, 2026 20:42 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,153 $13.00 $14,989.00
Disclosure

SEC source: 0001856296-26-000003 · wk-form4_1774298557.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,160

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
December 19, 2025 Filed Dec 23, 2025 21:15 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 904 $16.59 $14,997.36
Disclosure

SEC source: 0001856296-25-000005 · form4-12232025_041221.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,007

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
September 19, 2025 Filed Sep 22, 2025 23:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,509 $9.94 $14,999.46
Disclosure

SEC source: 0001856296-25-000003 · form4-09222025_070904.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,103

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
June 21, 2025 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,440 $10.41 $14,990.40
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 9

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,594

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
June 06, 2025 Filed Jun 9, 2025 21:26 UTC NeuroPace Inc NPCE · Entity 5459 GrantStock Option (right to buy) · Derivative 8,745 $0.00 Strike: $13.15 $0.00
Disclosure

SEC source: 0001415889-25-016328 · form4-06092025_050610.xml · derivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,745

Underlying: Common Stock · 8,745 shares

Expires 2035-06-05

F1 · derivative.exercise_date: The shares subject to the option shall vest in twelve (12) equal consecutive monthly installments until all of the option shares are fully vested and exercisable, subject to the Reporting Person's continuous service through each vesting date.

Read SEC document
March 21, 2025 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,247 $12.02 $14,988.94
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 8

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,154

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
February 20, 2025 Filed Feb 25, 2025 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 958 $10.72 $10,269.76
Disclosure

SEC source: 0001140361-25-005719 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,306

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
February 13, 2025 Filed Feb 19, 2025 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionStock Option (Right to Buy) · Derivative 187,500 $0.00 Strike: $3.85 $0.00
Disclosure

SEC source: 0001140361-25-005053 · form4.xml · derivative · entry 3

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,500

Underlying: Common Stock · 187,500 shares

Expires 2032-04-19

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.

F2 · 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
February 13, 2025 Filed Feb 19, 2025 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 227,500 $10.43 $2,372,825.00
Disclosure

SEC source: 0001140361-25-005053 · form4.xml · nonDerivative · entry 2

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,264

F1 · 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.

Read SEC document
February 13, 2025 Filed Feb 19, 2025 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionCommon Shares 187,500 $3.85 $721,875.00
Disclosure

SEC source: 0001140361-25-005053 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,764

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.

Read SEC document
January 20, 2025 Filed Jan 23, 2025 02:04 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 1,057 $11.15 $11,785.55
Disclosure

SEC source: 0001140361-25-001663 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,264

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
December 21, 2024 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,300 $11.53 $14,989.00
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 7

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,907

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
December 20, 2024 Filed Dec 27, 2024 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 3,087 $11.57 $35,716.59
Disclosure

SEC source: 0001140361-24-050459 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,321

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 20, 2024 Filed Nov 23, 2024 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 958 $11.49 $11,007.42
Disclosure

SEC source: 0001140361-24-047698 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 207,408

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 20, 2024 Filed Oct 23, 2024 01:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 956 $11.92 $11,395.52
Disclosure

SEC source: 0001140361-24-043961 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208,366

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
September 30, 2024 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 2,152 $6.97 $14,999.44
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 6

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,607

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
September 23, 2024 Filed Sep 25, 2024 01:01 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $3.85 $0.00
Disclosure

SEC source: 0001140361-24-041789 · form4.xml · derivative · entry 4

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 250,000 shares

Expires 2032-04-19

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.

F3 · 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
September 23, 2024 Filed Sep 25, 2024 01:01 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 250,000 $11.89 $2,972,500.00
Disclosure

SEC source: 0001140361-24-041789 · form4.xml · nonDerivative · entry 3

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 209,322

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.

Read SEC document
September 23, 2024 Filed Sep 25, 2024 01:01 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionCommon Shares 250,000 $3.85 $962,500.00
Disclosure

SEC source: 0001140361-24-041789 · form4.xml · nonDerivative · entry 2

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 459,322

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.

Read SEC document
September 20, 2024 Filed Sep 25, 2024 01:01 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 3,087 $11.97 $36,951.39
Disclosure

SEC source: 0001140361-24-041789 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 209,322

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
August 20, 2024 Filed Aug 23, 2024 01:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 958 $11.48 $10,997.84
Disclosure

SEC source: 0001140361-24-038307 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 212,409

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
July 20, 2024 Filed Jul 26, 2024 01:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 958 $11.00 $10,538.00
Disclosure

SEC source: 0001140361-24-034283 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 213,367

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.

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

Read SEC document
June 28, 2024 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,984 $7.56 $14,999.04
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 5

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,455

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
June 20, 2024 Filed Jun 25, 2024 01:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 3,087 $10.80 $33,339.60
Disclosure

SEC source: 0001140361-24-031175 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 212,123

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
June 07, 2024 Filed Jun 11, 2024 20:17 UTC NeuroPace Inc NPCE · Entity 5459 GrantStock Option (Rt to Buy) · Derivative 17,774 $0.00 Strike: $6.47 $0.00
Disclosure

SEC source: 0001415889-24-016361 · form4-06112024_080649.xml · derivative · entry 1

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,774

Underlying: Common Stock · 17,774 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares subject to the option shall vest in twelve (12) equal consecutive monthly installments until all of the option shares are fully vested and exercisable.

Read SEC document
May 20, 2024 Filed May 23, 2024 01:01 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 1,363 $11.37 $15,497.31
Disclosure

SEC source: 0001140361-24-027207 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 215,210

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 22, 2024 Filed Apr 25, 2024 01:12 UTC Roivant Sciences Ltd. ROIV · Entity 3185 GrantStock Option (Right to Buy) · Derivative 230,548 $0.00 Strike: $10.60 $0.00
Disclosure

SEC source: 0001140361-24-021818 · form4.xml · derivative · entry 2

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,548

Underlying: Common Shares · 230,548 shares

Expires 2034-04-21

F2 · derivative.exercise_date: Award of stock options to purchase Common Shares with a vesting commencement date of April 20, 2024. These options vest and become exercisable (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.

Read SEC document
April 22, 2024 Filed Apr 25, 2024 01:12 UTC Roivant Sciences Ltd. ROIV · Entity 3185 GrantCommon Shares 38,685 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-021818 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,573

F1 · shares: Reflects an award of 38,685 restricted stock units with respect to Common Shares ("RSUs") with a vesting commencement date of April 20, 2024. 1/4 of the RSUs service-vest on the date thirteen (13) months from the vesting commencement date; and the balance of the RSUs service-vest in series of twelve (12) successive equal quarterly installments measured from the date thirteen (13) months from the vesting commencement date, subject to the reporting person's Continuous Service through the applicable vesting date.

Read SEC document
April 20, 2024 Filed Apr 24, 2024 01:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 9,881 $10.46 $103,355.26
Disclosure

SEC source: 0001140361-24-021493 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 177,888

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 29, 2024 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,136 $13.20 $14,995.20
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 4

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,471

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 1,506 $10.01 $15,075.06
Disclosure

SEC source: 0001140361-24-014895 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,769

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
February 20, 2024 Filed Feb 23, 2024 02:01 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 1,508 $11.54 $17,402.32
Disclosure

SEC source: 0001140361-24-009098 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 189,275

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
January 20, 2024 Filed Jan 24, 2024 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 1,506 $10.35 $15,587.10
Disclosure

SEC source: 0001140361-24-003549 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 190,783

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
December 29, 2023 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,454 $10.31 $14,990.74
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 3

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,335

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

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December 27, 2023 Filed Dec 30, 2023 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionCapped Value Appreciation Rights · Derivative 1,894 $11.50 $21,781.00
Disclosure

SEC source: 0001140361-23-060291 · form4.xml · derivative · entry 3

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 87,126

Underlying: Common Shares · 13 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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023.

F3 · 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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023.

F3 · 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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023.

F3 · 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 · 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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023.

F3 · 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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023.

F3 · derivative.underlying_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.

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December 27, 2023 Filed Dec 30, 2023 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 6 $11.58 $69.48
Disclosure

SEC source: 0001140361-23-060291 · form4.xml · nonDerivative · entry 2

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 192,289

F2 · kind: Represents the "net settlement" by the Issuer of CVARs in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of the CVARs.

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December 27, 2023 Filed Dec 30, 2023 02:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionCommon Shares 13 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-060291 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 192,295

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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 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"). On December 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 13 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023.

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December 20, 2023 Filed Dec 23, 2023 00:00 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Tax withholdingCommon Shares 1,364 $9.96 $13,585.44
Disclosure

SEC source: 0001140361-23-059239 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 192,282

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

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November 22, 2023 Filed Nov 28, 2023 02:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 OtherCommon Shares 1,415 $8.68 $12,282.20
Disclosure

SEC source: 0001140361-23-054758 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 193,646

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

F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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October 24, 2023 Filed Oct 27, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 OtherCommon Shares 1,563 $8.99 $14,051.37
Disclosure

SEC source: 0001140361-23-049765 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 195,061

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

F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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September 29, 2023 Filed Jun 24, 2025 20:30 UTC NeuroPace Inc NPCE · Entity 5459 GrantCommon Stock 1,541 $9.73 $14,993.93
Disclosure

SEC source: 0001415889-25-018089 · form4-06242025_040603.xml · nonDerivative · entry 2

Kumar Rakhi · CIK 0001856296 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,881

F1 · shares: These shares were issued to the Reporting Person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees.

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September 28, 2023 Filed Sep 30, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 OtherCommon Shares 92 $12.67 $1,165.64
Disclosure

SEC source: 0001140361-23-046106 · form4.xml · nonDerivative · entry 2

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,624

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 $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 (3) to this Form 4.

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September 27, 2023 Filed Sep 30, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionCapped Value Appreciation Rights · Derivative 1,894 $11.50 $21,781.00
Disclosure

SEC source: 0001140361-23-046106 · form4.xml · derivative · entry 3

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,020

Underlying: Common Shares · 169 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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 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.

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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023.

F4 · 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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023.

F4 · 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 · 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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023.

F4 · 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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023.

F4 · derivative.underlying_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.

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September 27, 2023 Filed Sep 30, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionCommon Shares 169 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-046106 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,716

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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 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"). On September 27, 2023, the hurdle price applicable to 1,894 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 169 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023.

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September 22, 2023 Filed Sep 27, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 OtherCommon Shares 1,403 $10.19 $14,296.57
Disclosure

SEC source: 0001140361-23-045330 · form4.xml · nonDerivative · entry 1

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,547

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

F2 · price: The price reported in column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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September 08, 2023 Filed Sep 13, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 Exercise / conversionStock Option (Right to Buy) · Derivative 99,350 $0.00 Strike: $6.48 $0.00
Disclosure

SEC source: 0001140361-23-043730 · form4.xml · derivative · entry 3

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 99,350 shares

Expires 2027-05-21

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.

F2 · derivative.exercise_date: Award of stock options to purchase Common Shares with a vesting commencement date of May 20, 2017. The award of stock options is fully vested

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September 08, 2023 Filed Sep 13, 2023 01:30 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 99,350 $12.18 $1,210,083.00
Disclosure

SEC source: 0001140361-23-043730 · form4.xml · nonDerivative · entry 2

Kumar Rakhi · CIK 0001856296 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,950

F1 · 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 (1) to this Form 4. These sales were effected by the reporting person pursuant to a Rule 10b5-1 trading plan adopted on February 25, 2023.

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