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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2019-03-19 17:15:55
Reporting Period:
Accepted Time:
2019-03-19 17:15:55
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1636050 Axovant Sciences Ltd. AXON () DE
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1290166 Qvt Associates Gp Llc 444 Madison Avenue, 21St Floor
New York NY 10022
No No Yes No
1771138 Ltd. Cayman Investment Financial Qvt 190 Elgin Avenue
George Town, Grand Cayman E9 KY1-9005
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, $0.00001 Par Value Per Share Acquisiton 2019-03-18 6,666,667 $1.50 105,952,381 No 4 P Indirect see fn
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect see fn
  1. QVT Financial LP, its general partner, QVT Financial GP LLC, QVT Financial Investment Cayman Ltd. and QVT Associates GP LLC, the general partner of certain funds managed by QVT Financial LP (collectively, "QVT"), may be deemed to have beneficial ownership over the 105,952,381 Common Shares held by Roivant Sciences Ltd. ("Roivant") because, as shareholders of Roivant, QVT may be deemed to have dispositive power and, therefore, beneficial ownership, over the Common Shares held by Roivant by virtue of governance arrangements in Roivant's bye-laws, namely, the appointment of one or more independent directors (within the meaning of that term under Roivant's bye-laws) to Roivant's board of directors.