Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arbutus Biopharma CorpABUS · Entity 4953 | Director | June 19, 2018 | June 22, 2018 |
| Myovant Sciences Ltd.MYOV · Entity 115677 | Director | October 26, 2016 | October 27, 2016 |
| Roivant Sciences Ltd.ROIV · Entity 3185 | 10% owner | December 11, 2025 | December 16, 2025 |
| Strive, Inc.ASST · Entity 4444 | 10% owner | November 05, 2025 | November 07, 2025 |
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 June 19, 2018 · Filed June 22, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.75 · Expires 2028-06-19 | Direct | 22,000 |
Reported balance
After 2018-06-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-19 · Grant · Acquired 22,000 · Balance 22,000 |
Myovant Sciences Ltd.
Report date October 26, 2016 · Filed October 27, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
Holding disclosure · report date 2016-10-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: Does not include 37,231,342 shares owned by Roivant Sciences Ltd. ("Roivant"). Mr. Ramaswamy is one of five directors of Roivant. Mr. Ramaswamy expressly disclaims beneficial ownership of the shares owned by Roivant, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Does not include 37,231,342 shares owned by Roivant Sciences Ltd. ("Roivant"). Mr. Ramaswamy is one of five directors of Roivant. Mr. Ramaswamy expressly disclaims beneficial ownership of the shares owned by Roivant, except to the extent of his pecuniary interest therein.
Roivant Sciences Ltd.
Report date December 11, 2025 · Filed December 16, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 33,653,755 |
Ending reported balance
After 2025-12-15 transaction · row 9
9 source rows · reconciled sequenceRow 1 · 2025-12-11 · Exercise / conversion · Acquired 1,869,691 · Balance 35,523,447 Row 2 · 2025-12-11 · Sale · Disposed 774,142 · Balance 34,749,305 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.35 to $22.05, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. Row 3 · 2025-12-11 · Other · Disposed 1,095,550 · Balance 33,653,755 F2: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options. F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.35 to $22.05, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. Row 4 · 2025-12-12 · Exercise / conversion · Acquired 4,672,724 · Balance 38,326,479 Row 5 · 2025-12-12 · Sale · Disposed 1,975,858 · Balance 36,350,621 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.65 to $22.13, inclusive. Row 6 · 2025-12-12 · Other · Disposed 2,696,866 · Balance 33,653,755 F2: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.65 to $22.13, inclusive. Row 7 · 2025-12-15 · Exercise / conversion · Acquired 832,453 · Balance 34,486,208 Row 8 · 2025-12-15 · Sale · Disposed 353,745 · Balance 34,132,463 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.88 to $22.49, inclusive. Row 9 · 2025-12-15 · Other · Disposed 478,708 · Balance 33,653,755 F2: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.88 to $22.49, inclusive. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.68 · Expires 2026-03-31 | Direct | 27,655,404 |
Reported balance
After 2025-12-11 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-12-11 · Exercise / conversion · Disposed 1,869,691 · Balance 27,655,404 F7: All options exercised by the reporting person would have expired in March 2026 if not exercised. F6: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.68 · Expires 2026-03-31 | Direct | 22,982,680 |
Reported balance
After 2025-12-12 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2025-12-12 · Exercise / conversion · Disposed 4,672,724 · Balance 22,982,680 F7: All options exercised by the reporting person would have expired in March 2026 if not exercised. F6: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.68 · Expires 2026-03-31 | Direct | 22,150,227 |
Reported balance
After 2025-12-15 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2025-12-15 · Exercise / conversion · Disposed 832,453 · Balance 22,150,227 F7: All options exercised by the reporting person would have expired in March 2026 if not exercised. F6: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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). |
| Common SharesSEC Table I · non-derivative | IndirectSpousal | 13,357,857 |
Reported balance
Holding disclosure · report date 2025-12-11 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 13,357,857 F5: Represents the quantity of shares held indirectly only. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.35 to $22.05, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.
F2: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.65 to $22.13, inclusive.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.88 to $22.49, inclusive.
F5: Represents the quantity of shares held indirectly only.
F6: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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).
F7: All options exercised by the reporting person would have expired in March 2026 if not exercised.
Strive, Inc.
Report date November 05, 2025 · Filed November 07, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Series A Perpetual Preferred StockSEC Table I · non-derivative | Direct | 15,625 |
Reported balance
After 2025-11-05 transaction · row 1
1 source rowRow 1 · 2025-11-05 · Purchase · Acquired 15,625 · Balance 15,625 F1: Represents shares purchased in connection with the underwritten public offering of Variable Rate Series A Perpetual Preferred Stock, $0.001 par value per share, of the Issuer (the "SATA Stock"). The shares of SATA Stock were purchased at the public offering price of $80.00 per share. |
| Class B Common StockSEC Table I · non-derivative | Direct | 113,877,916 |
Reported balance
Holding disclosure · report date 2025-11-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 113,877,916 |
| Class B Common StockSEC Table I · non-derivative | IndirectBy Ramaswamy 2021 Irrevocable Trust | 28,378,826 |
Reported balance
Holding disclosure · report date 2025-11-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 28,378,826 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares purchased in connection with the underwritten public offering of Variable Rate Series A Perpetual Preferred Stock, $0.001 par value per share, of the Issuer (the "SATA Stock"). The shares of SATA Stock were purchased at the public offering price of $80.00 per share.
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 15, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionStock Option (Right to Buy) · Derivative | 832,453 | $0.00 Strike: $12.68 | $0.00 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · derivative · entry 13 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,150,227 Underlying: Common Stock · 832,453 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. F7 · shares: All options exercised by the reporting person would have expired in March 2026 if not exercised. F6 · derivative.exercise_date: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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 |
| December 15, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 478,708 | $22.05 | $10,555,511.40 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 9 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,653,755 F2 · shares: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.88 to $22.49, inclusive. Read SEC document |
| December 15, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 353,745 | $22.05 | $7,800,077.25 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 8 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,132,463 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.88 to $22.49, inclusive. Read SEC document |
| December 15, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 832,453 | $12.68 | $10,555,504.04 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 7 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,486,208 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 |
| December 12, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,672,724 | $0.00 Strike: $12.68 | $0.00 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · derivative · entry 12 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,982,680 Underlying: Common Stock · 4,672,724 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. F7 · shares: All options exercised by the reporting person would have expired in March 2026 if not exercised. F6 · derivative.exercise_date: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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 |
| December 12, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 2,696,866 | $21.96 | $59,223,177.36 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 6 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,653,755 F2 · shares: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.65 to $22.13, inclusive. Read SEC document |
| December 12, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 1,975,858 | $21.96 | $43,389,841.68 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 5 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,350,621 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.65 to $22.13, inclusive. Read SEC document |
| December 12, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 4,672,724 | $12.68 | $59,250,140.32 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 4 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,326,479 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 |
| December 11, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,869,691 | $0.00 Strike: $12.68 | $0.00 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · derivative · entry 11 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,655,404 Underlying: Common Stock · 1,869,691 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. F7 · shares: All options exercised by the reporting person would have expired in March 2026 if not exercised. F6 · derivative.exercise_date: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019. 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 |
| December 11, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 1,095,550 | $21.64 | $23,707,702.00 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,653,755 F2 · shares: Represents the "net settlement" by the Issuer of options previously granted to the reporting person in order to satisfy the exercise price applicable to such options. F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.35 to $22.05, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. Read SEC document |
| December 11, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 774,142 | $21.64 | $16,752,432.88 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,749,305 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.35 to $22.05, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. Read SEC document |
| December 11, 2025 Filed Dec 16, 2025 02:34 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 1,869,691 | $12.68 | $23,707,681.88 |
DisclosureSEC source: 0001635075-25-000006 · primary_doc.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,523,447 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 |
| November 17, 2025 Filed Nov 17, 2025 22:52 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 539,650 | $20.51 | $11,068,221.50 |
DisclosureSEC source: 0001635075-25-000005 · primary_doc.xml · nonDerivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,653,756 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.20 to $20.72, inclusive. Read SEC document |
| November 14, 2025 Filed Nov 17, 2025 22:52 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 1,027,670 | $20.33 | $20,892,531.10 |
DisclosureSEC source: 0001635075-25-000005 · primary_doc.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,193,406 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $21.11, inclusive. Read SEC document |
| November 13, 2025 Filed Nov 17, 2025 22:52 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 287,283 | $20.81 | $5,978,359.23 |
DisclosureSEC source: 0001635075-25-000005 · primary_doc.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,221,076 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.54 to $21.08, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2), and (3) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 23:50 UTC | Strive, Inc. ASST · Entity 4444 | PurchaseVariable Rate Series A Perpetual Preferred Stock | 15,625 | $80.00 | $1,250,000.00 |
DisclosureSEC source: 0000950103-25-014486 · dp237138_4-vivek.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,625 F1 · price: Represents shares purchased in connection with the underwritten public offering of Variable Rate Series A Perpetual Preferred Stock, $0.001 par value per share, of the Issuer (the "SATA Stock"). The shares of SATA Stock were purchased at the public offering price of $80.00 per share. Read SEC document |
| September 05, 2025 Filed Sep 5, 2025 21:01 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 385,816 | $12.96 | $5,000,175.36 |
DisclosureSEC source: 0002007997-25-000007 · primary_doc.xml · nonDerivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,508,359 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.04, inclusive. Read SEC document |
| September 04, 2025 Filed Sep 5, 2025 21:01 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 194,933 | $12.92 | $2,518,534.36 |
DisclosureSEC source: 0002007997-25-000007 · primary_doc.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,894,175 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.80 to $13.03, inclusive. Read SEC document |
| September 03, 2025 Filed Sep 5, 2025 21:01 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 1,195,000 | $12.50 | $14,937,500.00 |
DisclosureSEC source: 0002007997-25-000007 · primary_doc.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,089,108 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.39 to $12.71, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2), and (3) to this Form 4. Read SEC document |
| June 20, 2025 Filed Jun 23, 2025 15:35 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 577,007 | $11.46 | $6,612,500.22 |
DisclosureSEC source: 0002007997-25-000006 · primary_doc.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,284,108 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.45 to $11.54, inclusive. Read SEC document |
| June 18, 2025 Filed Jun 23, 2025 15:35 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 565,266 | $11.45 | $6,472,295.70 |
DisclosureSEC source: 0002007997-25-000006 · primary_doc.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,861,115 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.41 to $11.53, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4. Read SEC document |
| June 06, 2025 Filed Jun 6, 2025 21:49 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 200,800 | $11.19 | $2,246,952.00 |
DisclosureSEC source: 0002007997-25-000004 · primary_doc.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,426,381 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.16 to $11.31, inclusive. Read SEC document |
| June 04, 2025 Filed Jun 6, 2025 21:49 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 547,430 | $11.34 | $6,207,856.20 |
DisclosureSEC source: 0002007997-25-000004 · primary_doc.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,627,181 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.25 to $11.47, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4 Read SEC document |
| May 07, 2025 Filed May 9, 2025 00:51 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 625,000 | $11.18 | $6,987,500.00 |
DisclosureSEC source: 0001214659-25-007221 · marketforms-69403.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,174,611 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.10 to $11.26, inclusive. Read SEC document |
| May 06, 2025 Filed May 9, 2025 00:51 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 273,959 | $11.47 | $3,142,309.73 |
DisclosureSEC source: 0001214659-25-007221 · marketforms-69403.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,799,611 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.45 to $11.52, inclusive. The reporting person undertakes to provide to Roivant Sciences Ltd., any security holder of Roivant Sciences Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4 Read SEC document |
| January 23, 2025 Filed Jan 27, 2025 16:40 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | GiftCommon Shares | 13,357,857 | $0.00 | $0.00 |
DisclosureSEC source: 0002007997-25-000001 · primary_doc.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Spousal Disclosed balance after: 13,357,857 F2 · balance_after: Represents the quantity of shares held indirectly only. Read SEC document |
| January 23, 2025 Filed Jan 27, 2025 16:40 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | GiftCommon Shares | 13,357,857 | $0.00 | $0.00 |
DisclosureSEC source: 0002007997-25-000001 · primary_doc.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,073,570 F1 · shares: Transaction represents a transfer of Common Shares for estate planning purposes intra-household. Read SEC document |
| January 02, 2024 Filed Jan 3, 2024 21:56 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 3,000,000 | $11.05 | $33,150,000.00 |
DisclosureSEC source: 0001420506-24-000003 · doc4_1100.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,929,426 F1 · shares: Reflects an award of restricted stock covering Common Shares that is fully vested. F1 · balance_after: Reflects an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| December 27, 2023 Filed Dec 30, 2023 02:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 251,538 | $11.50 | $2,892,687.00 |
DisclosureSEC source: 0001140361-23-060295 · form4.xml · derivative · entry 4 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 11,570,769 Underlying: Common Shares · 1,737 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 December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. 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 December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 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"). F3 · price: On December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 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 December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. 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 December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. Read SEC document |
| December 27, 2023 Filed Dec 30, 2023 02:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 611,393 | $6.40 | $3,912,915.20 |
DisclosureSEC source: 0001140361-23-060295 · form4.xml · derivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 7,132,921 Underlying: Common Shares · 273,490 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 December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. F5 · 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 December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 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"). F2 · price: On December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. F5 · 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 December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. 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 December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. F5 · 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 |
| December 27, 2023 Filed Dec 30, 2023 02:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Tax withholdingCommon Shares | 133,911 | $11.58 | $1,550,689.38 |
DisclosureSEC source: 0001140361-23-060295 · form4.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 54,929,426 F4 · 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. F6 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| December 27, 2023 Filed Dec 30, 2023 02:00 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 275,227 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-060295 · form4.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 55,063,337 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 December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. F3 · kind: On December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 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"). F2 · price: On December 27, 2023, the "knock-in" condition (as defined below) and hurdle price applicable to 611,393 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 273,490 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. F3 · price: On December 27, 2023, the hurdle price applicable to 251,538 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 1,737 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on December 27, 2023. F6 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| September 28, 2023 Filed Sep 30, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 61,947 | $12.67 | $784,868.49 |
DisclosureSEC source: 0001140361-23-046107 · form4.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,788,110 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. F7 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. 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 | 251,539 | $11.50 | $2,892,698.50 |
DisclosureSEC source: 0001140361-23-046107 · form4.xml · derivative · entry 4 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,822,307 Underlying: Common Shares · 22,503 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 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. 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 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 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"). F3 · price: On September 27, 2023, the hurdle price applicable to 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 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 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. 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 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 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 | 203,798 | $6.40 | $1,304,307.20 |
DisclosureSEC source: 0001140361-23-046107 · form4.xml · derivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,744,314 Underlying: Common Shares · 97,031 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 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: 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on September 27, 2023. F6 · 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 | 119,534 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-046107 · form4.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,850,057 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 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 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 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 203,798 of these vested CVARs have been satisfied and, accordingly, the CVARs were settled into 97,031 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 251,539 of these vested CVARs has been satisfied and, accordingly, the CVARs were settled into 22,503 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: Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 47,692 | $11.25 | $536,535.00 |
DisclosureSEC source: 0001140361-23-041707 · form4.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,730,523 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. F5 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| August 27, 2023 Filed Aug 30, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 203,798 | $6.40 | $1,304,307.20 |
DisclosureSEC source: 0001140361-23-041707 · form4.xml · derivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,948,112 Underlying: Common Shares · 86,714 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 203,798 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 86,714 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: 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 203,798 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 86,714 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 203,798 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 86,714 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 203,798 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 86,714 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 203,798 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 86,714 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: 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 |
| August 27, 2023 Filed Aug 30, 2023 01:31 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 86,714 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-041707 · form4.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,778,215 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 203,798 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 86,714 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 203,798 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 86,714 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on August 25, 2023. F5 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| July 31, 2023 Filed Aug 1, 2023 10:13 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 76,023 | $11.43 | $868,942.89 |
DisclosureSEC source: 0001140361-23-037146 · form4.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,691,501 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 $10.77 to $11.97, 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. F5 · balance_after: 5.Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| July 27, 2023 Filed Aug 1, 2023 10:13 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCapped Value Appreciation Rights · Derivative | 407,595 | $6.40 | $2,608,608.00 |
DisclosureSEC source: 0001140361-23-037146 · form4.xml · derivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,151,910 Underlying: Common Shares · 166,057 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 407,595 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 166,057 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F4 · 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 407,595 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 166,057 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 407,595 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 166,057 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 407,595 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 166,057 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 407,595 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 166,057 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F4 · 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 |
| July 27, 2023 Filed Aug 1, 2023 10:13 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | Exercise / conversionCommon Shares | 166,057 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-037146 · form4.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,767,524 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 407,595 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 166,057 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 407,595 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 166,057 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on July 27, 2023. F5 · balance_after: 5.Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| May 31, 2023 Filed Jun 1, 2023 01:30 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | OtherCommon Shares | 189,947 | $9.09 | $1,726,618.23 |
DisclosureSEC source: 0001140361-23-027615 · form4.xml · nonDerivative · entry 2 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,601,467 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. F5 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. 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 | 1,222,787 | $6.40 | $7,825,836.80 |
DisclosureSEC source: 0001140361-23-027615 · form4.xml · derivative · entry 3 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,559,505 Underlying: Common Shares · 382,203 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 1,222,787 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 382,203 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: 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 1,222,787 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 382,203 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 1,222,787 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 382,203 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 1,222,787 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 382,203 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 1,222,787 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 382,203 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: 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 | 382,203 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-027615 · form4.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,791,414 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 1,222,787 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 382,203 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 1,222,787 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 382,203 Common Shares, determined by dividing (i) the CVAR Amount by (ii) the closing price of a Common Share on May 26, 2023. F5 · balance_after: Includes an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| February 22, 2023 Filed Feb 22, 2023 22:04 UTC | Roivant Sciences Ltd. ROIV · Entity 3185 | SaleCommon Shares | 4,000,000 | $7.95 | $31,800,000.00 |
DisclosureSEC source: 0001140361-23-008049 · form4.xml · nonDerivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,409,211 F1 · shares: The reporting person does not expect to sell additional shares of the Issuer for the foreseeable future. F2 · balance_after: Reflects an award of restricted stock covering Common Shares that is fully vested. Read SEC document |
| June 19, 2018 Filed Jun 22, 2018 20:24 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantDirector Stock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $6.75 | $0.00 |
DisclosureSEC source: 0001140361-18-029605 · doc1.xml · derivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Shares · 22,000 shares Expires 2028-06-19 Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 20:02 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001209191-17-041628 · doc4.xml · derivative · entry 1 Ramaswamy Vivek · CIK 0001635075 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2027-06-21 F1 · derivative.exercise_date: Immediately exercisable. 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.