[144] Roivant Sciences Ltd. SEC Filing

Rhea-AI Filing Summary

Roivant Sciences Ltd. insider filing reports a proposed sale under Rule 144 of 171,396 common shares with an aggregate market value of $2,800,364.71 to be sold on 10/06/2025 through Rockefeller Financial LLC on NASDAQ. The shares were acquired the same day via option exercises with grant dates in 2017, 2020, and 2022, and payment was wired on 10/06/2025. The filing also discloses multiple recent sales by the same account during the past three months, including large transactions on 07/21/2025, 08/20/2025, 09/19/2025, 09/22/2025, and 09/23/2025, with individual gross proceeds shown per sale.

Positive

• Disclosure compliance: Notice filed under Rule 144 with broker and sale details
• Payment method disclosed: Shares acquired by option exercise and paid by wire on 10/06/2025

Negative

• Concentrated insider selling: Multiple large sales in the past three months, including 683,818 and 611,000 share transactions
• Material proceeds reported: Individual past sales show multi‑million dollar gross proceeds (e.g., $10,220,412.21 on 09/19/2025)

Insights

Insider Transactions Analyst

TL;DR: Significant insider selling activity disclosed; proposed sale is modest relative to shares outstanding but follows sizable recent disposals.

The filing shows a proposed Rule 144 sale of 171,396 shares valued at $2,800,364.71 on 10/06/2025, acquired the same day via option exercises with grant dates 11/20/2017, 03/26/2020, and 04/20/2022. Recent executed sales listed include multiple large tranches with gross proceeds reported for each trade.

This pattern indicates ongoing monetization by the named account; the proposed block is small versus the 682,881,743 shares outstanding but follows prior sales that generated multi‑million dollar proceeds. Monitor insider activity frequency and sizes over the next quarter for potential signaling of continued selling.

Compliance & Market-Structure Specialist

TL;DR: The filing documents compliance steps under Rule 144 and records cash payment via wire for the option exercises.

The table explicitly states payment for the shares was made by Wire on 10/06/2025 and identifies the broker as Rockefeller Financial LLC, which aligns with standard Rule 144 disclosures. The signature section includes the required representation about material nonpublic information.

For regulatory traceability, verify trade execution on NASDAQ and confirm aggregation of sales where required; filing provides dates and gross proceeds for prior trades to support compliance reviews within the usual post‑trade timeframe.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Rockefeller Financial LLC 45 Rockefeller Plaza Floor 5 New York NY 10111	171396	2800364.71	682881743	10/06/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Shares	10/06/2025	Options Exercise - Grant Date 03/26/2020	Roivant Sciences Ltd.			127355	10/06/2025	Wire
Common	10/06/2025	Options Exercise - Grant Date 11/20/2017	Roivant Sciences Ltd.			24900	10/06/2025	Wire
Common	10/06/2025	Options Exercise - Grant Date 04/20/2022	Roivant Sciences Ltd.			19141	10/06/2025	Wire

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway, London X0 SW1HODB	Common shares	08/20/2025	100000	1172120.12
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway,, London X0 SW1HODB	Common Shares	07/21/2025	100000	1151941.91
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway,, London X0 SW1HODB	Common Shares	09/19/2025	683818	10220412.21
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway London X0 SW1HODB	Common Shares	09/22/2025	316182	4741054.24
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway, London X0 SW1HODB	Common Shares	09/22/2025	100000	1501338.85
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway, London X0 SW1HODB	Common Shares	09/23/2025	611000	9061130.00

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Roivant Sciences (ROIV) Form 144 report on 10/06/2025?

The Form 144 reports a proposed sale of 171,396 common shares valued at $2,800,364.71, to be sold on 10/06/2025 through Rockefeller Financial LLC on NASDAQ.

Who acquired the shares being sold under the Form 144?

The shares were acquired by the selling account via options exercises with grant dates on 11/20/2017, 03/26/2020, and 04/20/2022 and payment was made by wire on 10/06/2025.

What recent insider sales are disclosed for the same account?

The filing lists sales on 07/21/2025, 08/20/2025, 09/19/2025, 09/22/2025, and 09/23/2025 with amounts sold and gross proceeds shown for each transaction.

Which broker is handling the proposed sale in the Form 144?

The proposed sale lists Rockefeller Financial LLC, located at 45 Rockefeller Plaza, Floor 5, New York, NY, as the broker.

How many shares outstanding does Roivant report on the filing?

The filing shows 682,881,743 shares outstanding against which the proposed sale is listed.