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VIKING GLOBAL PERFORMANCE LLC

Disclosed activity across 8 companies

Tapewire entity
89796
SEC CIK
0001132625

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Adaptive Biotechnologies CorpADPT · Entity 112610% ownerDecember 14, 2020December 17, 2020
BridgeBio Pharma, Inc.BBIO · Entity 336010% ownerJune 27, 2019June 28, 2019

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee explanation of responses29,993,708 Reported balance After 2020-12-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-12-14 · Sale · Disposed 1,000,000 · Balance 29,993,708

F1: On December 14, 2020, the Viking Funds (defined below) sold an aggregate of 1,000,000 shares of common stock of the Issuer ("Common Stock") at a price of $55.65 per share.VGE II sold 14,671 shares, VGEM sold 718,897 shares and VLFM sold 266,432 shares.

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

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

F4: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; and (iii) VLFM, which directly holds 8,257,951 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F5: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F6: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

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

Filing footnotes · ownership attribution and instrument terms

F1: On December 14, 2020, the Viking Funds (defined below) sold an aggregate of 1,000,000 shares of common stock of the Issuer ("Common Stock") at a price of $55.65 per share.VGE II sold 14,671 shares, VGEM sold 718,897 shares and VLFM sold 266,432 shares.

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

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

F4: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; and (iii) VLFM, which directly holds 8,257,951 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F5: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F6: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses26,620,991 Last balance in matching sequence After 2019-06-27 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2019-06-27 · Conversion · Acquired 11,736,137 · Balance 11,736,137

F1: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Row 2 · 2019-06-27 · Conversion · Acquired 10,178,954 · Balance 21,915,091

F1: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Row 3 · 2019-06-27 · Purchase · Acquired 4,705,900 · Balance 26,620,991

F8: On June 27, 2019, the Viking Funds acquired an aggregate of 4,705,900 shares of Common Stock at a price of $17.00 per share in connection with the IPO. VGEM acquired 631,167 shares in the IPO, VLFM acquired 251,204 shares in the IPO and Opportunities Fund acquired 3,823,529 shares in the IPO.

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

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

F4: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Series C Preferred UnitsSEC Table II · derivative / convertible securityIndirectSee Explanation of Responses0 Reported balance After 2019-06-27 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-06-27 · Conversion · Disposed 51,781,276 · Balance 0

F1: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Series D Preferred UnitsSEC Table II · derivative / convertible securityIndirectSee Explanation of Responses0 Reported balance After 2019-06-27 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2019-06-27 · Conversion · Disposed 50,446,451 · Balance 0

F1: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Filing footnotes · ownership attribution and instrument terms

F1: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

F8: On June 27, 2019, the Viking Funds acquired an aggregate of 4,705,900 shares of Common Stock at a price of $17.00 per share in connection with the IPO. VGEM acquired 631,167 shares in the IPO, VLFM acquired 251,204 shares in the IPO and Opportunities Fund acquired 3,823,529 shares in the IPO.

Past disclosures · reporting ended (6)

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

Section 16 reporting ended · disclosed 2024-06-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses0 Reported balance After 2024-06-17 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2024-06-17 · Sale · Disposed 1,912,750 · Balance 0

F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3: These securities were held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses0 Reported balance After 2024-06-17 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2024-06-17 · Sale · Disposed 39,032 · Balance 0

F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4: These securities were held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses27,032,516 Reported balance Holding disclosure · report date 2024-06-17 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 27,032,516

F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F5: These securities are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.

F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3: These securities were held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F4: These securities were held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F5: These securities are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.

F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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

No balance rows disclosed in this filing.

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

No balance rows disclosed in this filing.

Section 16 reporting ended · disclosed 2023-06-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeIndirectSee Explanation of Responses641,010 Reported balance After 2023-06-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-06-22 · Sale · Disposed 110,756 · Balance 641,010

F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3: These shares are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the shares held directly by VGEII.

F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Common SharesSEC Table I · non-derivativeIndirectSee Explanation of Responses31,409,512 Reported balance After 2023-06-22 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2023-06-22 · Sale · Disposed 5,427,043 · Balance 31,409,512

F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4: These shares are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the shares held directly by VGEM.

F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Common SharesSEC Table I · non-derivativeIndirectSee Explanation of Responses30,303,871 Reported balance After 2023-06-22 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2023-06-22 · Sale · Disposed 5,236,006 · Balance 30,303,871

F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F5: These shares are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund.

F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Common SharesSEC Table I · non-derivativeIndirectSee Explanation of Responses12,884,307 Reported balance After 2023-06-22 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2023-06-22 · Sale · Disposed 2,226,195 · Balance 12,884,307

F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F6: These shares are held directly by VLFM. VLFGP provides managerial services to VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares held directly by VLFM.

F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3: These shares are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the shares held directly by VGEII.

F4: These shares are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the shares held directly by VGEM.

F5: These shares are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund.

F6: These shares are held directly by VLFM. VLFGP provides managerial services to VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares held directly by VLFM.

F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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

No balance rows disclosed in this filing.

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

No balance rows disclosed in this filing.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 17, 2024 Filed Jun 18, 2024 21:04 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 39,032 $38.15 $1,489,070.80
Disclosure

SEC source: 0000905148-24-001732 · form4.xml · nonDerivative · entry 2

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These securities were held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
June 17, 2024 Filed Jun 18, 2024 21:04 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 1,912,750 $38.15 $72,971,412.50
Disclosure

SEC source: 0000905148-24-001732 · form4.xml · nonDerivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These securities were held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
March 05, 2024 Filed Mar 7, 2024 21:43 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 60,772 $34.25 $2,081,441.00
Disclosure

SEC source: 0000905148-24-000919 · form4.xml · nonDerivative · entry 2

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 39,032

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These securities are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
March 05, 2024 Filed Mar 7, 2024 21:43 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 2,977,845 $34.25 $101,991,191.25
Disclosure

SEC source: 0000905148-24-000919 · form4.xml · nonDerivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 1,912,750

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These securities are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 21:17 UTC APi Group Corp APG · Entity 3311 Conversion5.5% Series B Perpetual Convertible Preferred Stock · Derivative 4,000 $0.00 Strike: $24.60 $0.00
Disclosure

SEC source: 0000905148-24-000843 · form4.xml · derivative · entry 7

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 164,016 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · kind: On February 28, 2024, VGEM, VGEII and the other holders of shares of Series B Preferred Stock (collectively, the "Series B Holders") entered into a Conversion and Repurchase Agreement with the Issuer, pursuant to which each of the Series B Holders converted all of their shares of Series B Preferred Stock into shares of Common Stock at the conversion price of $26.40 per share of Common Stock and, immediately thereafter, the Issuer repurchased an aggregate 16,260,160 shares of Common Stock from the Series B Holders at a price of $36.90 per share of Common Stock, including 3,983,739 shares of Common Stock from VGEM and 81,300 shares of Common Stock from VGEII.

F10 · derivative.exercise_date: The Series B Preferred Stock had no expiration date and was convertible at any time at the option of the holder, or the Issuer could have, at its option, effected conversion of all, but not less than all, of the outstanding Series B Preferred Stock to Common Stock, but only if the volume-weighted average price of Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeded 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of Common Stock).

F10 · derivative.expiration_date: The Series B Preferred Stock had no expiration date and was convertible at any time at the option of the holder, or the Issuer could have, at its option, effected conversion of all, but not less than all, of the outstanding Series B Preferred Stock to Common Stock, but only if the volume-weighted average price of Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeded 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of Common Stock).

F8 · derivative.underlying_shares: Includes 1,415 shares of Common Stock representing payment-in-kind of accumulated and unpaid dividends on the 4,000 shares of Series B Preferred Stock held directly by VGEII.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These securities are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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February 28, 2024 Filed Mar 1, 2024 21:17 UTC APi Group Corp APG · Entity 3311 Conversion5.5% Series B Perpetual Convertible Preferred Stock · Derivative 196,000 $0.00 Strike: $24.60 $0.00
Disclosure

SEC source: 0000905148-24-000843 · form4.xml · derivative · entry 6

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 8,036,862 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · kind: On February 28, 2024, VGEM, VGEII and the other holders of shares of Series B Preferred Stock (collectively, the "Series B Holders") entered into a Conversion and Repurchase Agreement with the Issuer, pursuant to which each of the Series B Holders converted all of their shares of Series B Preferred Stock into shares of Common Stock at the conversion price of $26.40 per share of Common Stock and, immediately thereafter, the Issuer repurchased an aggregate 16,260,160 shares of Common Stock from the Series B Holders at a price of $36.90 per share of Common Stock, including 3,983,739 shares of Common Stock from VGEM and 81,300 shares of Common Stock from VGEII.

F10 · derivative.exercise_date: The Series B Preferred Stock had no expiration date and was convertible at any time at the option of the holder, or the Issuer could have, at its option, effected conversion of all, but not less than all, of the outstanding Series B Preferred Stock to Common Stock, but only if the volume-weighted average price of Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeded 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of Common Stock).

F10 · derivative.expiration_date: The Series B Preferred Stock had no expiration date and was convertible at any time at the option of the holder, or the Issuer could have, at its option, effected conversion of all, but not less than all, of the outstanding Series B Preferred Stock to Common Stock, but only if the volume-weighted average price of Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeded 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of Common Stock).

F7 · derivative.underlying_shares: Includes 69,383 shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") representing payment-in-kind of accumulated and unpaid dividends on the 196,000 shares of the Issuer's 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") held directly by VGEM.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These securities are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 21:17 UTC APi Group Corp APG · Entity 3311 OtherCommon Stock 81,300 $36.90 $2,999,970.00
Disclosure

SEC source: 0000905148-24-000843 · form4.xml · nonDerivative · entry 4

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 99,804

F9 · kind: On February 28, 2024, VGEM, VGEII and the other holders of shares of Series B Preferred Stock (collectively, the "Series B Holders") entered into a Conversion and Repurchase Agreement with the Issuer, pursuant to which each of the Series B Holders converted all of their shares of Series B Preferred Stock into shares of Common Stock at the conversion price of $26.40 per share of Common Stock and, immediately thereafter, the Issuer repurchased an aggregate 16,260,160 shares of Common Stock from the Series B Holders at a price of $36.90 per share of Common Stock, including 3,983,739 shares of Common Stock from VGEM and 81,300 shares of Common Stock from VGEII.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These securities are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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February 28, 2024 Filed Mar 1, 2024 21:17 UTC APi Group Corp APG · Entity 3311 OtherCommon Stock 3,983,739 $36.90 $146,999,969.10
Disclosure

SEC source: 0000905148-24-000843 · form4.xml · nonDerivative · entry 3

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 4,890,595

F9 · kind: On February 28, 2024, VGEM, VGEII and the other holders of shares of Series B Preferred Stock (collectively, the "Series B Holders") entered into a Conversion and Repurchase Agreement with the Issuer, pursuant to which each of the Series B Holders converted all of their shares of Series B Preferred Stock into shares of Common Stock at the conversion price of $26.40 per share of Common Stock and, immediately thereafter, the Issuer repurchased an aggregate 16,260,160 shares of Common Stock from the Series B Holders at a price of $36.90 per share of Common Stock, including 3,983,739 shares of Common Stock from VGEM and 81,300 shares of Common Stock from VGEII.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These securities are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 21:17 UTC APi Group Corp APG · Entity 3311 ConversionCommon Stock 164,016 $24.60 $4,034,793.60
Disclosure

SEC source: 0000905148-24-000843 · form4.xml · nonDerivative · entry 2

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 181,104

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.

F9 · kind: On February 28, 2024, VGEM, VGEII and the other holders of shares of Series B Preferred Stock (collectively, the "Series B Holders") entered into a Conversion and Repurchase Agreement with the Issuer, pursuant to which each of the Series B Holders converted all of their shares of Series B Preferred Stock into shares of Common Stock at the conversion price of $26.40 per share of Common Stock and, immediately thereafter, the Issuer repurchased an aggregate 16,260,160 shares of Common Stock from the Series B Holders at a price of $36.90 per share of Common Stock, including 3,983,739 shares of Common Stock from VGEM and 81,300 shares of Common Stock from VGEII.

F8 · shares: Includes 1,415 shares of Common Stock representing payment-in-kind of accumulated and unpaid dividends on the 4,000 shares of Series B Preferred Stock held directly by VGEII.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These securities are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 21:17 UTC APi Group Corp APG · Entity 3311 ConversionCommon Stock 8,036,862 $24.60 $197,706,805.20
Disclosure

SEC source: 0000905148-24-000843 · form4.xml · nonDerivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 8,874,334

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.

F9 · kind: On February 28, 2024, VGEM, VGEII and the other holders of shares of Series B Preferred Stock (collectively, the "Series B Holders") entered into a Conversion and Repurchase Agreement with the Issuer, pursuant to which each of the Series B Holders converted all of their shares of Series B Preferred Stock into shares of Common Stock at the conversion price of $26.40 per share of Common Stock and, immediately thereafter, the Issuer repurchased an aggregate 16,260,160 shares of Common Stock from the Series B Holders at a price of $36.90 per share of Common Stock, including 3,983,739 shares of Common Stock from VGEM and 81,300 shares of Common Stock from VGEII.

F7 · shares: Includes 69,383 shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") representing payment-in-kind of accumulated and unpaid dividends on the 196,000 shares of the Issuer's 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") held directly by VGEM.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These securities are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 21:11 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 3,983 $31.30 $124,667.90
Disclosure

SEC source: 0000905148-24-000079 · form4.xml · nonDerivative · entry 3

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 17,088

F8 · balance_after: Between March 31, 2022 and January 2, 2024, VGEII received 21,071 shares of Common Stock as payment-in-kind dividend on 4,000 shares of 5.5% Series B Perpetual Convertible Preferred Stock of the Issuer held directly by VGEII.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F5 · ownership.nature: These shares are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the shares held directly by VGEII.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 21:11 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 195,200 $31.30 $6,109,760.00
Disclosure

SEC source: 0000905148-24-000079 · form4.xml · nonDerivative · entry 2

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 837,472

F7 · balance_after: Between March 31, 2022 and January 2, 2024, VGEM received 1,032,672 shares of Common Stock as payment-in-kind dividend on 196,000 shares of 5.5% Series B Perpetual Convertible Preferred Stock of the Issuer held directly by VGEM.

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These shares are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the shares held directly by VGEM.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 21:11 UTC APi Group Corp APG · Entity 3311 SaleCommon Stock 6,300,817 $31.30 $197,215,572.10
Disclosure

SEC source: 0000905148-24-000079 · form4.xml · nonDerivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 27,032,516

F1 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").

F2 · ownership.nature: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These shares are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund.

F6 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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June 22, 2023 Filed Jun 26, 2023 17:10 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 2,226,195 $9.90 $22,039,330.50
Disclosure

SEC source: 0001140361-23-031456 · form4.xml · nonDerivative · entry 4

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 12,884,307

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2 · ownership.nature: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F6 · ownership.nature: These shares are held directly by VLFM. VLFGP provides managerial services to VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares held directly by VLFM.

F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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June 22, 2023 Filed Jun 26, 2023 17:10 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 5,236,006 $9.90 $51,836,459.40
Disclosure

SEC source: 0001140361-23-031456 · form4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 30,303,871

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2 · ownership.nature: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F5 · ownership.nature: These shares are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund.

F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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June 22, 2023 Filed Jun 26, 2023 17:10 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 5,427,043 $9.90 $53,727,725.70
Disclosure

SEC source: 0001140361-23-031456 · form4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 31,409,512

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2 · ownership.nature: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F4 · ownership.nature: These shares are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the shares held directly by VGEM.

F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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June 22, 2023 Filed Jun 26, 2023 17:10 UTC Roivant Sciences Ltd. ROIV · Entity 3185 SaleCommon Shares 110,756 $9.90 $1,096,484.40
Disclosure

SEC source: 0001140361-23-031456 · form4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 641,010

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").

F2 · ownership.nature: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.

F3 · ownership.nature: These shares are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the shares held directly by VGEII.

F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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January 03, 2022 Filed Jan 6, 2022 01:20 UTC APi Group Corp API · Entity 3311 Purchase5.5% Series B Perpetual Convertible Preferred Stock · Derivative 4,000 $1,000.00 Strike: $24.60 $4,000,000.00
Disclosure

SEC source: 0001387131-22-000095 · api010322.xml · derivative · entry 2

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Viking Global Equities II LP

Disclosed balance after: 4,000

Underlying: Common Stock · 162,602 shares

Expires not disclosed

F1 · derivative.exercise_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock).

F1 · derivative.expiration_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock).

F2 · derivative.underlying_shares: Each share of Series B Preferred Stock will be convertible at the option of the holder into a whole number of shares of Common Stock, determined by dividing the sum of $1,000 per share of Series B Preferred Stock and any accrued and unpaid quarterly dividends thereon on the conversion date by the then-applicable conversion price except that such conversion is not permitted if a "Fundamental Change" repurchase notice has been delivered with respect to such share or shares (subject to certain exceptions), such share or shares have been called for redemption (subject to certain exceptions), such share or shares are subject to a mandatory conversion and such notice and surrender is submitted after the close of business on the business day immediately prior to the mandatory conversion date or the Company does not have sufficient authorized and unissued and unreserved shares of common stock to effect such conversion.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners") and Viking Global Performance LLC ("VGP"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). VGI provides managerial services to Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). In addition, VGP is the general partner to VGEII and investment manager to VGEM. Each of Global Partners, VGP, VGI, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the securities reported on this form.

F4 · ownership.nature: VGI provides managerial services to VGEM, which directly holds 196,000 shares of Series B Preferred Stock, and VGEII which directly holds 4,000 shares of Series B Preferred Stock. Because of the relationship between VGI, VGEM and VGEII, VGI may be deemed to beneficially own the shares of Series B Preferred Stock held directly by VGEM and VGEII.

F5 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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January 03, 2022 Filed Jan 6, 2022 01:20 UTC APi Group Corp API · Entity 3311 Purchase5.5% Series B Perpetual Convertible Preferred Stock · Derivative 196,000 $1,000.00 Strike: $24.60 $196,000,000.00
Disclosure

SEC source: 0001387131-22-000095 · api010322.xml · derivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Viking Global Equities Master Ltd.

Disclosed balance after: 196,000

Underlying: Common Stock · 7,967,479 shares

Expires not disclosed

F1 · derivative.exercise_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock).

F1 · derivative.expiration_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock).

F2 · derivative.underlying_shares: Each share of Series B Preferred Stock will be convertible at the option of the holder into a whole number of shares of Common Stock, determined by dividing the sum of $1,000 per share of Series B Preferred Stock and any accrued and unpaid quarterly dividends thereon on the conversion date by the then-applicable conversion price except that such conversion is not permitted if a "Fundamental Change" repurchase notice has been delivered with respect to such share or shares (subject to certain exceptions), such share or shares have been called for redemption (subject to certain exceptions), such share or shares are subject to a mandatory conversion and such notice and surrender is submitted after the close of business on the business day immediately prior to the mandatory conversion date or the Company does not have sufficient authorized and unissued and unreserved shares of common stock to effect such conversion.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners") and Viking Global Performance LLC ("VGP"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). VGI provides managerial services to Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). In addition, VGP is the general partner to VGEII and investment manager to VGEM. Each of Global Partners, VGP, VGI, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the securities reported on this form.

F4 · ownership.nature: VGI provides managerial services to VGEM, which directly holds 196,000 shares of Series B Preferred Stock, and VGEII which directly holds 4,000 shares of Series B Preferred Stock. Because of the relationship between VGI, VGEM and VGEII, VGI may be deemed to beneficially own the shares of Series B Preferred Stock held directly by VGEM and VGEII.

F5 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

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December 14, 2020 Filed Dec 17, 2020 02:03 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 SaleCommon Stock 1,000,000 $55.65 $55,650,000.00
Disclosure

SEC source: 0001387131-20-011164 · adpt-form4_121420.xml · nonDerivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 29,993,708

F1 · shares: On December 14, 2020, the Viking Funds (defined below) sold an aggregate of 1,000,000 shares of common stock of the Issuer ("Common Stock") at a price of $55.65 per share.VGE II sold 14,671 shares, VGEM sold 718,897 shares and VLFM sold 266,432 shares.

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

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

F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; and (iii) VLFM, which directly holds 8,257,951 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

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

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November 11, 2020 Filed Nov 13, 2020 21:00 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 SaleCommon Stock 2,500,000 $49.52 $123,787,500.00
Disclosure

SEC source: 0001387131-20-009936 · ownership.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 30,993,708

F1 · shares: On November 11, 2020, the Viking Funds (defined below) sold an aggregate of 2,500,000 shares of common stock of the Issuer ("Common Stock") at a price of $49.5150 per share.VGE II sold 18,326 shares, VGEM sold 897,994 shares, VLFM sold 332,821 shares and Opportunities Fund sold 1,250,859 shares.

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

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

F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; (iii) VLFM, which directly holds 8,257,951 shares of Common Stock; and (iv) Opportunities Fund, which does not directly hold shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F7 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F8 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
January 28, 2020 Filed Jan 30, 2020 16:53 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 SaleCommon Stock 4,912,899 $24.98 $122,706,039.29
Disclosure

SEC source: 0000903423-20-000011 · vgpadaptive4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 33,493,708

F1 · shares: On January 28, 2020, the Viking Funds (defined below) sold an aggregate of 4,912,899 shares of common stock of the Issuer ("Common Stock") at a price of $24.9763 per share in connection with the Issuer's secondary offering (the "Secondary Offering"). VGE II sold 69,386 shares in the Secondary Offering, VGEM sold 3,399,929 shares in the Secondary Offering, VLFM sold 1,260,106 shares in the Secondary Offering and Opportunities Fund sold 183,478 shares in the Secondary Offering.

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

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

F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 473,043 shares of Common Stock; (ii) VGEM, which directly holds 23,179,034 shares of Common Stock; (iii) VLFM, which directly holds 8,590,772 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,250,859 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F7 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F8 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionSeries F-1 Preferred Stock · Derivative 290,572 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 9

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 0

Underlying: Common Stock · 290,572 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionSeries F Preferred Stock · Derivative 2,007,740 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 8

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 0

Underlying: Common Stock · 2,007,740 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionSeries E Preferred Stock · Derivative 15,524,350 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 7

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 0

Underlying: Common Stock · 15,524,350 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionSeries D Preferred Stock · Derivative 18,908,945 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 6

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 0

Underlying: Common Stock · 18,908,945 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionCommon Stock 290,572 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 5

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 38,406,607

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionCommon Stock 2,007,740 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 4

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 38,116,035

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionCommon Stock 15,524,350 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 36,108,295

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 ConversionCommon Stock 18,908,945 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 20,583,945

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 01, 2019 Filed Jul 2, 2019 17:13 UTC Adaptive Biotechnologies Corp ADPT · Entity 1126 PurchaseCommon Stock 250,000 $20.00 $5,000,000.00
Disclosure

SEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation of responses

Disclosed balance after: 1,675,000

F1 · shares: On July 1, 2019, the Viking Funds (defined below) acquired an aggregate of 250,000 shares of common stock of the Issuer ("Common Stock") at a price of $20 per share in connection with the Issuer's initial public offering ("IPO"). VGEM acquired 173,010 shares in the IPO, VGE II acquired 3,531 shares in the IPO, VLFM acquired 64,122 shares in the IPO and Opportunities Fund acquired 9,337 shares in the IPO.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds").

F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.

F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.

F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
June 27, 2019 Filed Jun 28, 2019 19:02 UTC BridgeBio Pharma, Inc. BBIO · Entity 3360 ConversionSeries D Preferred Units · Derivative 50,446,451 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000266 · vgpbbio4.xml · derivative · entry 5

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 10,178,954 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4 · ownership.nature: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Read SEC document
June 27, 2019 Filed Jun 28, 2019 19:02 UTC BridgeBio Pharma, Inc. BBIO · Entity 3360 ConversionSeries C Preferred Units · Derivative 51,781,276 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000266 · vgpbbio4.xml · derivative · entry 4

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 11,736,137 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4 · ownership.nature: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Read SEC document
June 27, 2019 Filed Jun 28, 2019 19:02 UTC BridgeBio Pharma, Inc. BBIO · Entity 3360 PurchaseCommon Stock 4,705,900 $17.00 $80,000,300.00
Disclosure

SEC source: 0000903423-19-000266 · vgpbbio4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 26,620,991

F8 · shares: On June 27, 2019, the Viking Funds acquired an aggregate of 4,705,900 shares of Common Stock at a price of $17.00 per share in connection with the IPO. VGEM acquired 631,167 shares in the IPO, VLFM acquired 251,204 shares in the IPO and Opportunities Fund acquired 3,823,529 shares in the IPO.

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

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

F4 · ownership.nature: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Read SEC document
June 27, 2019 Filed Jun 28, 2019 19:02 UTC BridgeBio Pharma, Inc. BBIO · Entity 3360 ConversionCommon Stock 10,178,954 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000266 · vgpbbio4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 21,915,091

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 · price: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4 · ownership.nature: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Read SEC document
June 27, 2019 Filed Jun 28, 2019 19:02 UTC BridgeBio Pharma, Inc. BBIO · Entity 3360 ConversionCommon Stock 11,736,137 Not disclosed Not disclosed
Disclosure

SEC source: 0000903423-19-000266 · vgpbbio4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 11,736,137

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 · price: Immediately prior to the closing of the Issuer's initial public offering ("IPO"), the Series C Preferred Units and Series D Preferred Units in BridgeBio Pharma LLC held by the Reporting Persons (defined below) were exchanged for shares of common stock, par value $0.001 per share (the "Common Stock"), of the Issuer in an exempt transaction pursuant to Rules 16b-6 and 16b-7.

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

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

F4 · ownership.nature: VGEM directly holds 631,167 shares of Common Stock; VLFM directly holds 251,204 shares of Common Stock; and Opportunities Fund directly holds 25,738,620 shares of Common Stock.

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

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

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

Read SEC document
June 19, 2019 Filed Jun 19, 2019 18:29 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 4,957 $8.17 $40,495.22
Disclosure

SEC source: 0000903423-19-000253 · urov4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,860,013

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.00 to $8.27, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 18, 2019 Filed Jun 19, 2019 18:29 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 6,706 $8.21 $55,060.95
Disclosure

SEC source: 0000903423-19-000253 · urov4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,855,056

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.09 to $8.29, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 17, 2019 Filed Jun 19, 2019 18:29 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 6,541 $8.53 $55,824.82
Disclosure

SEC source: 0000903423-19-000253 · urov4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,848,350

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.11 to $8.70, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 14, 2019 Filed Jun 14, 2019 18:16 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,144 $7.91 $56,514.04
Disclosure

SEC source: 0000903423-19-000248 · urov4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,841,809

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.65 to $8.00, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 13, 2019 Filed Jun 14, 2019 18:16 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,367 $7.95 $58,542.60
Disclosure

SEC source: 0000903423-19-000248 · urov4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,834,665

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.67 to $8.39, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 18:16 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,500 $8.30 $62,244.00
Disclosure

SEC source: 0000903423-19-000248 · urov4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,827,298

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.16 to $8.77, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 11, 2019 Filed Jun 11, 2019 18:14 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,189 $8.58 $61,693.84
Disclosure

SEC source: 0000903423-19-000241 · urov4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,819,798

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $8.41 to $8.75, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 10, 2019 Filed Jun 11, 2019 18:14 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,500 $8.35 $62,594.25
Disclosure

SEC source: 0000903423-19-000241 · urov4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,812,609

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.89 to $8.68, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 07, 2019 Filed Jun 11, 2019 18:14 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 6,649 $7.97 $52,959.29
Disclosure

SEC source: 0000903423-19-000241 · urov4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,805,109

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.73 to $8.10, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 06, 2019 Filed Jun 6, 2019 18:16 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,082 $8.00 $56,621.30
Disclosure

SEC source: 0000903423-19-000239 · urov4.xml · nonDerivative · entry 3

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,798,460

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F4 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.73 to $8.57, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

Read SEC document
June 05, 2019 Filed Jun 6, 2019 18:16 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 6,540 $8.02 $52,418.10
Disclosure

SEC source: 0000903423-19-000239 · urov4.xml · nonDerivative · entry 2

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,791,378

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F3 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.68 to $8.33, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

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June 04, 2019 Filed Jun 6, 2019 18:16 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 7,500 $7.59 $56,910.75
Disclosure

SEC source: 0000903423-19-000239 · urov4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,784,838

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 5 and 6 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F2 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.42 to $7.71, inclusive. The reporting person undertakes to provide to Urovant Sciences Ltd. ("Urovant"), any security holder of Urovant, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4.

F5 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F6 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F7 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F8 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

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June 04, 2019 Filed Jun 13, 2019 15:45 UTC Myovant Sciences Ltd. MYOV · Entity 115677 PurchaseCommon Shares, $0.000017727 par value per share 2,424,242 $8.25 $19,999,996.50
Disclosure

SEC source: 0000903423-19-000244 · vgpmyov4.xml · nonDerivative · entry 1

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 40,765,599

F1 · ownership.nature: These shares of common stock (the "Common Shares") were purchased by Roivant Sciences Ltd. ("Roivant") in connection with an underwritten public offering of Common Shares by Myovant Sciences Ltd. The Common Shares are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F2 · ownership.nature: As the approval of the Reporting Persons' Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F4 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

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June 03, 2019 Filed Jun 3, 2019 18:23 UTC Urovant Sciences Ltd. UROV · Entity 140739 PurchaseCommon Shares, par value $0.000037453 per share 5,424 $7.71 $41,814.70
Disclosure

SEC source: 0000903423-19-000237 · urov4.xml · nonDerivative · entry 4

VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner

Viking Global Equities LP · CIK 0001101785 · 10% owner

Viking Global Equities II LP · CIK 0001413378 · 10% owner

VGE III Portfolio Ltd. · CIK 0001621620 · 10% owner

Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner

Viking Long Fund GP LLC · CIK 0001621607 · 10% owner

Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 22,777,338

F1 · shares: The transaction was a series of open market purchases made by Roivant Sciences Ltd. ("Roivant") under a trading plan established by Roivant pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and in accordance with the safe harbor of Rule 10b-18 under the Exchange Act. The purchases were made by Roivant and not by the Reporting Person. See footnotes 6 and 7 for information on the Reporting Person's ownership via Roivant of the purchased Common Shares.

F5 · price: The price reported in Column 4 is a weighted average price. These Common Shares were purchased in multiple transactions at prices ranging from $7.64 to $7.74, inclusive. The reporting person undertakes to provide to Urovant, any security holder of Urovant, or the staff of the SEC, upon request, full information regarding the number of Common Shares purchased at each separate price within the range set forth in this footnote (5) to this Form 4.

F6 · ownership.nature: These shares of common stock (the "Common Shares") of Urovant are directly beneficially owned by Roivant and indirectly beneficially owned by the Reporting Persons. The Reporting Persons acquired Roivant common shares on December 8, 2015. Pursuant to Roivant's internal governance documents, following the appointment to Roivant's board of directors of one or more directors meeting certain independence criteria (each an "Independent Director" and collectively the "Independent Directors"), dispositions of the Common Shares require the approval of a majority of Roivant's board of directors, including (i) at least two Independent Directors, or, (ii) if there is only one independent director, that sole Independent Director. The Reporting Persons had an Independent Director appointed to Roivant's board of directors effective July 8, 2016.

F7 · ownership.nature: As the approval of the Reporting Person's Independent Director, and, to the extent one other Independent Director is serving, that other Independent Director, is needed for Roivant to dispose of the Common Shares, the Reporting Persons may be deemed to have dispositive power over, and to be indirect beneficial owners of, the Common Shares directly beneficially owned by Roivant. The Reporting Persons disclaim beneficial ownership of the shares owned by Roivant, except to the extent of their respective pecuniary interest therein. Additionally, this filing shall not be deemed an admission that the Reporting Persons and any other Independent Director constitute a "group" for purposes of Section 13(d) or Section 13(g) of the Securities Exchange Act of 1934, as amended.

F8 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP").

F9 · ownership.nature: VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund", and together with VGE, VGE II, VGE III, VGEM and VLFM, the "Funds" and the Funds together with VGI, VGP, VLFGP, Opportunities GP, Opportunities Portfolio GP, O. Andreas Halvorsen, David C. Ott and Rose S. Shabet, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III and VGEM. VLFGP serves as the investment manager of VLFM. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund.

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