# EDGAR Filing Document

**Accession Number:** 0001832142
**File Stem:** 0000950170-25-090997
**Filing Date:** 2025-6
**Character Count:** 10168
**Document Hash:** 288812adc5e1024d8579d040366283b7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-25-090997.hdr.sgml**: 20250627

**ACCESSION NUMBER**: 0000950170-25-090997

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250625

**FILED AS OF DATE**: 20250627

**DATE AS OF CHANGE**: 20250627

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Gold Daniel Allen
- **CENTRAL INDEX KEY:** 0001832142

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40782
- **FILM NUMBER:** 251087451

**MAIL ADDRESS:**
- **STREET 1:** 15 CHESTNUT HILL LANE
- **CITY:** BRIARCLIFF MANOR
- **STATE:** NY
- **ZIP:** 10510
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Roivant Sciences Ltd.
- **CENTRAL INDEX KEY:** 0001635088
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 981173944
- **STATE OF INCORPORATION:** D0
- **FISCAL YEAR END:** 0331

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** 7TH FLOOR, 50 BROADWAY
- **CITY:** LONDON
- **NON US STATE TERRITORY:** UNITED KINGDOM
- **PROVINCE COUNTRY:** X0
- **ZIP:** SW1H 0DB
- **BUSINESS PHONE:** 441-295-5950

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** 7TH FLOOR, 50 BROADWAY
- **CITY:** LONDON
- **NON US STATE TERRITORY:** UNITED KINGDOM
- **PROVINCE COUNTRY:** X0
- **ZIP:** SW1H 0DB

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Gold Daniel Allen<br><sub>(Last) (First) (Middle)</sub><br>C/O ROIVANT SCIENCES LTD.<br>7TH FLOOR, 50 BROADWAY<br><sub>(Street)</sub><br>LONDON, X0 SW1H 0DB<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Roivant Sciences Ltd. [ ROIV ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Shares | 2025-06-25 |  | J<sup>(1)</sup> |  | 19311790 | D | $0.00 | 0 | I<sup>(2)</sup> | Held by QVT Roiv Hldgs Offshore Ltd.<sup>(3)</sup> |
| Common Shares | 2025-06-25 |  | J<sup>(1)</sup> |  | 6837266 | D | $0.00 | 0 | I<sup>(2)</sup> | Held by QVT Roiv Hldgs Onshore Ltd.<sup>(3)</sup> |
| Common Shares | 2025-06-25 |  | J<sup>(1)</sup> |  | 55443 | D | $0.00 | 0 | I<sup>(2)</sup> | Held by Fourth Avenue Capital Partners LP<sup>(4)</sup> |
| Common Shares | 2025-06-25 |  | J<sup>(1)</sup> |  | 1170646 | D | $0.00 | 1592480 | I<sup>(2)</sup> | Held by QVT P&E Roiv Hldgs Ltd.<sup>(5)</sup> |
| Common Shares | 2025-06-25 |  | J<sup>(1)</sup> |  | 6205368 | D | $0.00 | 8441428 | I<sup>(2)</sup> | Held by QVT Deferred Compensation Holdings Ltd.<sup>(5)</sup> |
| Common Shares | 2025-06-25 |  | J<sup>(1)</sup> |  | 3176245 | D | $0.00 | 19347727 | I<sup>(2)</sup> | Held by QVT Financial Investment Cayman Ltd.<sup>(6)</sup> |
| Common Shares |  |  |  |  |  |  |  | 8956640<sup>(7)</sup> | D |  |
| Common Shares |  |  |  |  |  |  |  | 1925909<sup>(7)</sup> | I<sup>(2)</sup> | Held by trusts and estate planning vehicles established by the Reporting Person<sup>(8)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) On June 25, 2025, each of QVT Roiv Hldgs Onshore Ltd. and QVT Roiv Hldgs Offshore Ltd. (together, "QVT Roiv"), Fourth Avenue Capital Partners LP ("Fourth Avenue"), QVT P&E Roiv Hldgs Ltd. ("QVT P&E"), QVT Deferred Compensation Holdings Ltd ("QVT DCH") and QVT Financial Investment Cayman Ltd. ("QVT FIC") made an in-kind distribution on a pro rata basis, for no consideration. One of the investors in QVT Roiv Hldgs Offshore Ltd. contributed its pro rata portion distribution to QVT FIC in order to facilitate the winding down of QVT Roiv Hldgs Offshore Ltd. QVT FIC has no pecuniary interest in such shares.

(2) The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these Common Shares in this report shall not be deemed an admission of beneficial ownership of all of the reported Common Shares for purposes of Section 16 or for any other purpose.

(3) QVT Financial LP, a Delaware limited partnership, is the investment manager of QVT Roiv, and shares voting and investment control over the Shares held directly by QVT Roiv. QVT Financial GP LLC ("QVT Financial GP"), a Delaware limited liability company, is the general partner of QVT Financial LP. The reporting person is a Managing Member of QVT Financial GP, sharing voting and investment control over the Common Shares held directly by QVT Roiv and may be deemed to beneficially own such Common Shares.

(4) Management of Fourth Avenue is vested in its general partner, Fourth Avenue Capital Partners GP LLC, a Delaware limited liability company ("Fourth Avenue GP"), which may be deemed to beneficially own the Common Shares held directly by Fourth Avenue. Daniel Gold is a Managing Member of Fourth Avenue GP, sharing voting and investment control over the Common Shares held directly by Fourth Avenue and may be deemed to beneficially own such Common Shares.

(5) The reporting person is one of two directors of QVT P&E Roiv Hldgs Ltd. ("QVT P&E") and QVT Deferred Compensation Holdings Ltd ("QVT DCH"), sharing voting and investment control over the Common Shares held directly by QVT P&E and QVT DCH.

(6) The reporting person is one of three directors of QVT Financial Investment Cayman Ltd. ("QVT FIC"), sharing voting and investment control over the Common Shares held directly by QVT FIC.

(7) Includes shares reporting person received as part of the distribution described in (1) above which is exempted under Rule 16a-9 and/or Rule 16a-13 as a change in form of beneficial ownership and (i) an annual award of restricted stock units with respect to Common Shares ("RSUs") granted pursuant to the Company's 2021 Equity Incentive Plan and the Company's Non-Employee Director Compensation Policy (the "Equity Plan"), which vested on September 12, 2024 and (ii) an annual award of restricted stock units with respect to RSU granted pursuant to the Equity Plan, which is scheduled to vest 100% on September 10, 2025, subject generally to the reporting person's continuous service through such date.

(8) The reporting person is a trustee of trusts and estate planning vehicles, each of which were formed by the reporting person and/or his immediate family members and shares voting and investment control over the Common Shares held directly by these trusts and may be deemed to beneficially own such Common Shares.

**Signature:** /s/ Dan Gold  
**Date:** 2025-06-27

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**