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Roivant Insider Net-Settlement: CFO Disposes 1,235 Shares for Tax Withholding

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Richard Pulik, Chief Financial Officer of Roivant Sciences Ltd. (ROIV), reported the disposition of 1,235 common shares on 08/20/2025 at a price of $11.72 per share, leaving him with 396,318 shares beneficially owned. The filing explains this was a net settlement of previously granted restricted stock units to satisfy tax withholding obligations upon vesting. The transaction was reported on a single-person Form 4 and executed by an attorney-in-fact.

Positive

  • Full disclosure of the transaction and its reason (net settlement for tax withholding) enhances transparency
  • Remaining beneficial ownership of 396,318 shares indicates continued significant insider stake

Negative

  • None.

Insights

TL;DR: Small tax-withholding sale by the CFO; not a material change to ownership.

The reported disposition of 1,235 shares is explicitly described as a net settlement related to RSU vesting to cover tax withholding. At a remaining beneficial ownership of 396,318 shares, this single transaction is immaterial relative to total holdings and does not indicate a strategic shift in ownership. The filing shows standard insider administrative activity rather than a directional trade signal.

TL;DR: Routine insider tax-related disposal with clear disclosure; governance process appears followed.

The Form 4 discloses the nature of the disposal as a net settlement for tax purposes and includes an authorized signature by an attorney-in-fact. This aligns with common executive compensation practices and demonstrates compliance with Section 16 reporting requirements. There are no indications of unusual timing or coordinated group filings in the document provided.

Insider Pulik Richard
Role CFO
Type Security Shares Price Value
Tax Withholding Common Shares 1,235 $11.72 $14K
Holdings After Transaction: Common Shares — 396,318 shares (Direct)
Footnotes (1)
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
Pulik Richard
(Last) (First) (Middle)
C/O ROIVANT SCIENCES LTD.
7TH FLOOR, 50 BROADWAY
(Street)
LONDON X0 SW1H 0DB
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Roivant Sciences Ltd. [ ROIV ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CFO
3. Date of Earliest Transaction (Month/Day/Year)
08/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Shares 08/20/2025 F 1,235(1) D $11.72 396,318 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents the "net settlement" by the Issuer of RSUs previously granted to the reporting person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of such RSUs.
By: /s/ Jo Chen, as Attorney-in-Fact for Richard Pulik 08/22/2025
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What transaction did ROIV CFO Richard Pulik report on Form 4?

He reported a disposition of 1,235 common shares on 08/20/2025 at a price of $11.72 per share.

Why were the 1,235 shares disposed of according to the filing?

The filing states the shares represent a net settlement of RSUs to satisfy tax withholding obligations upon vesting.

How many ROIV shares does Richard Pulik beneficially own after the transaction?

The Form 4 reports he beneficially owns 396,318 common shares following the transaction.

Was this Form 4 filed jointly or by one reporting person?

The form indicates it was filed by one reporting person.

Who signed the Form 4 on behalf of Richard Pulik?

The document shows it was signed by Jo Chen, as Attorney-in-Fact for Richard Pulik.