Roivant (NASDAQ: ROIV) CFO uses shares to cover RSU taxes

Rhea-AI Filing Summary

Roivant Sciences Ltd. (ROIV) reported that its CFO, Richard Pulik, had 5,749 Common Shares withheld on 2026-08-20 to satisfy tax withholding obligations upon the vesting and settlement of previously granted RSUs. This "net settlement" left him with 271,810 Common Shares held directly, including shares purchased under the company’s Employee Stock Purchase Plan.

Insider Trade Summary

Net Seller: 5,749 shares

Net Sell 1 txn

Insider Pulik Richard

Role CFO

Type	Security	Shares	Price	Value
Tax Withholding	Common Shares F1, F2	5,749	$36.84	$212K

Holdings After Transaction: Common Shares — 271,810 shares (Direct)

Footnotes (2)

1. F1. 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.
2. F2. Includes Common Shares purchased under the Issuer's Employee Stock Purchase Plan.

Key Figures

Shares withheld for tax (Common Shares): 5,749 shares Reported transaction price per share: $36.84 per share Shares owned following transaction: 271,810 shares

3 metrics

Shares withheld for tax (Common Shares) 5,749 shares Shares net settled to satisfy tax withholding on RSU vesting on 2026-08-20

Reported transaction price per share $36.84 per share Price applied to the 5,749 Common Shares withheld for tax obligations

Shares owned following transaction 271,810 shares Direct Common Share holdings of CFO after the Form 4 transaction

Key Terms

Restricted Stock Units, net settlement, Employee Stock Purchase Plan

3 terms

Restricted Stock Units financial

"Represents the "net settlement" by the Issuer of RSUs previously granted"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

net settlement financial

"Represents the "net settlement" by the Issuer of RSUs previously granted"

Employee Stock Purchase Plan financial

"Includes Common Shares purchased under the Issuer's Employee Stock Purchase Plan."

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

FAQ

What insider transaction did ROIV disclose for CFO Richard Pulik?

Roivant Sciences Ltd. disclosed that CFO Richard Pulik had 5,749 Common Shares withheld on 2026-08-20 to cover tax withholding obligations related to the vesting and settlement of previously granted RSUs.

Was the ROIV Form 4 transaction a market sale or tax withholding?

The Form 4 reports a code F transaction, described as payment of tax liability by delivering or withholding securities. A footnote states it represents a “net settlement” of RSUs to satisfy applicable tax withholding obligations, not an open-market sale.

How many ROIV shares were involved in the CFO’s tax-withholding transaction?

The transaction involved 5,749 Common Shares, withheld by Roivant Sciences Ltd. to satisfy tax withholding obligations arising from the vesting and settlement of RSUs previously granted to CFO Richard Pulik.

What price per share was reported for the ROIV tax-withholding transaction?

The Form 4 reports a transaction price of $36.84 per share for the 5,749 Common Shares withheld to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs.

How many ROIV shares does the CFO hold after this Form 4 transaction?

After the tax-withholding transaction, CFO Richard Pulik is reported to directly hold 271,810 Common Shares of Roivant Sciences Ltd., including Common Shares purchased under the company’s Employee Stock Purchase Plan.

Does the ROIV Form 4 indicate any Rule 10b5-1 trading plan for this transaction?

The filing’s Rule 10b5-1 checkbox is unchecked (aff_10b5_one is false), and the footnotes do not state that this transaction was made pursuant to a Rule 10b5-1 trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/24/2026 - 09:00 PM Accepted by SEC EDGAR 08/24/2026 - 09:00 PM Learn about SEC filing dates

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 SW1H 0DB

(City) (State) (Zip)

UNITED KINGDOM

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/20/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	08/20/2026		F		5,749(1)	D	$36.84	271,810(2)	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.

2. Includes Common Shares purchased under the Issuer's Employee Stock Purchase Plan.

Remarks:

Exhibit 24 - Power of Attorney

	By: /s/ Sam Kaplan, as Attorney-in-Fact for Richard Pulik	08/24/2026
	** 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.
* Form 4: SEC 1474 (03-26)