[144] Roivant Sciences Ltd. SEC Filing

Rhea-AI Filing Summary

Form 144 notice reports a proposed sale of 138,602 common shares of Roivant Sciences Ltd. (ROIV) through Rockefeller Financial LLC on 10/08/2025 on NASDAQ, with an aggregate market value of $2,244,797.15. The shares were acquired the same day through option exercises granted on 03/26/2020 and 11/20/2017, totaling 138,602 shares and paid by wire. The filer also discloses multiple recent sales by the same account over the past three months, including large transactions on 09/19/2025 (683,818 shares, gross proceeds $10,220,412.21) and several other sales totaling over $38M in gross proceeds across listed dates. The form includes the filers representation about absence of undisclosed material adverse information and standard signature attestation.

Positive

• Transparency: The filing details the grant dates (03/26/2020 and 11/20/2017) and payment method (wire) for the exercised options.
• Compliance: Notice filed under Rule 144 with attestation about undisclosed material adverse information.

Negative

• Concentrated insider sales: Multiple large disposals in recent months, including 683,818 shares on 09/19/2025 (gross $10,220,412.21), may increase sell-side pressure.
• Near-term supply risk: Proposed sale of 138,602 shares on 10/08/2025 adds to recent high-volume insider transactions.

Insights

Insider Transactions Analyst

TL;DR: Significant insider disposals disclosed, concentrated in recent months.

The filing shows a proposed sale of 138,602 shares valued at $2,244,797.15 and documents multiple prior sales by the same account including a 683,818-share sale on 09/19/2025 for $10,220,412.21. Large, repeated insider sales can increase share supply and may be scrutinized by investors for reasons unrelated to company fundamentals.

Key dependencies include the insider's liquidity needs and whether sales were executed under a trading plan. Watch for continued scheduled dispositions or any company disclosures coinciding with these dates within the next 30-90 days.

Corporate Governance Specialist

TL;DR: Disclosures align with Rule 144 mechanics; documentation of option exercises is explicit.

The form lists the acquisition method as option exercises (grant dates 03/26/2020 and 11/20/2017) and notes cash payment by wire. This establishes an immediate acquisition-to-sale timeline for the proposed sale date 10/08/2025, which is relevant to Rule 144 resale conditions.

Risks center on potential market impact from clustered sales; governance monitors will note whether subsequent filings show continued aggregation of transactions over the near term.

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	138602	2244797.15	682881743	10/08/2025	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	10/08/2025	Options Exercise - Grant Date 03/26/2020	Roivant Sciences Ltd.			10307	10/08/2025	Wire
Common	10/08/2025	Options Exercise - Grant Date 11/20/2017	Roivant Sciences Ltd.			128295	10/08/2025	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
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway,, London X0 SW1HODB	Common Shares	10/06/2025	171396	2800364.71
Eric Venker c/o Roivant Sciences LTD 7th Floor, 50 Broadway London X0 SW1HODB	Common Shares	10/07/2025	355161	5734289.35

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 the Form 144 filed for ROIV announce?

It announces a proposed sale of 138,602 common shares of Roivant Sciences Ltd. on 10/08/2025 with an aggregate market value of $2,244,797.15 via Rockefeller Financial LLC on NASDAQ.

How were the shares being sold acquired for ROIV Form 144?

The shares were acquired by option exercises with grant dates of 03/26/2020 and 11/20/2017, and payment was made by wire on 10/08/2025.

Have there been recent sales by the same account for ROIV?

Yes. The filing lists multiple sales in the prior three months, including 683,818 shares on 09/19/2025 for $10,220,412.21 and several other transactions totaling tens of millions in gross proceeds.

Which broker is handling the proposed ROIV sale?

The broker named is Rockefeller Financial LLC, located at 45 Rockefeller Plaza, Floor 5, New York, NY, and the sale is to occur on NASDAQ.

Does the filer assert any undisclosed material information in the ROIV notice?

By signing the notice the filer represents they do not know any material adverse information about the issuer that has not been publicly disclosed.