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Filing Details

Accession Number:
0000903423-19-000152
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-03-19 17:06:37
Reporting Period:
2019-03-18
Accepted Time:
2019-03-19 17:06:37
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1636050 Axovant Sciences Ltd. AXON () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1101785 Viking Global Equities Lp 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1132625 Viking Global Performance Llc 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1133006 Andreas Ole Halvorsen C/o Viking Global Investors Lp
280 Park Ave 35Th
New York NY 10017
No No Yes No
1413378 Viking Global Equities Ii Lp 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1621596 Ltd. Master Fund Long Viking 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1621607 Viking Long Fund Gp Llc 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1621620 Ltd. Portfolio Iii Vge 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1621842 C. David Ott C/o Viking Global Investors Lp
280 Park Avenue
New York NY 10017
No No Yes No
1711393 Sharon Rose Shabet C/o Viking Global Investors Lp
280 Park Avenue
New York NY 10017
No No Yes No
1759530 Ltd. Master Equities Global Viking 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares, Par Value $0.00001 Per Share Acquisiton 2019-03-18 6,666,667 $1.50 105,952,381 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
Footnotes
  1. The Reporting Persons (as defined below) do not directly own any shares of common stock (the "Common Shares") of Axovant Sciences Ltd. (the "Issuer"). The Reporting Persons acquired Roivant Sciences Ltd. ("Roivant") common shares (the "Roivant Common Shares") on December 8, 2015. Roivant directly holds the 105,952,381 Common Shares reported herein. Due to certain governance arrangements set forth in Roivant's by-laws, as of the appointment of an independent director (within the meaning of that term under Roivant's by-laws) to Roivant's board of directors effective July 8, 2016, the Reporting Persons may be deemed to have beneficial ownership over the Common Shares held by Roivant.
  2. 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").
  3. 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").
  4. VGP is the general partner of VGE, VGE II and VGEM and the investment manager of VGE III. 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.
  5. 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.