ROIV CFO nets 1,919 shares for taxes; retains 397k – Form 4

Roivant Sciences (ROIV) – Form 4 filing (30 Jul 2025) CFO Richard Pulik reported an automatic disposition of 1,919 common shares on 28 Jul 2025 at an implied price of $11.35.

Rhea-AI Filing Summary

Roivant Sciences (ROIV) – Form 4 filing (30 Jul 2025)

CFO Richard Pulik reported an automatic disposition of 1,919 common shares on 28 Jul 2025 at an implied price of $11.35. The transaction is coded “F”, indicating the issuer withheld shares to cover taxes due upon the vesting of previously granted restricted stock units (RSUs); no open-market sale occurred. After the net-settlement, Pulik retains 397,553 shares, so the shares surrendered equal roughly 0.5 % of his post-transaction holdings. Because the activity is tax-related and immaterial to overall ownership, it is typically viewed as routine rather than a directional signal on the company’s prospects.

Positive

• RSU vesting signals continued employment of the CFO and ongoing equity-based alignment with shareholders.
• Large residual holding (≈397k shares) maintains significant insider skin-in-the-game.

Negative

• Minor share count reduction technically increases float, though effect is immaterial.
• Investors who focus only on headline 'insider sale' may misinterpret the filing as bearish.

Insights

Securities Analyst

TL;DR: Routine tax withholding; negligible ownership change—neutral signal.

The F-code confirms shares were withheld by Roivant to satisfy Pulik’s tax obligation as RSUs vested. Only 1,919 shares (≈$22 k) were removed versus nearly 400 k still owned, leaving the CFO’s economic exposure intact. No derivative transactions were listed, and there is no evidence of discretionary selling. Such filings rarely influence valuation or liquidity given the de-minimis size and non-volitional nature. Overall impact on share-price sentiment is neutral.

Insider Trade Summary

Exercise Price or Tax Liability: 1,919 shares

Exercise Price or Tax Liability 1 txn

Insider Pulik Richard

Role CFO

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Shares	1,919	$11.35	$22K

Holdings After Transaction: Common Shares — 397,553 shares (Direct)

Footnotes (1)

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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many Roivant (ROIV) shares did CFO Richard Pulik dispose of?

He surrendered 1,919 common shares on 28 Jul 2025.

What was the transaction code in the July 2025 Form 4 for ROIV?

The filing lists transaction code F, meaning shares were withheld for tax purposes on RSU vesting.

What is Richard Pulik's remaining ownership in ROIV after the filing?

Pulik now beneficially owns 397,553 common shares directly.

Did the CFO sell shares on the open market?

No. The shares were net-settled by the issuer for withholding taxes; no open-market sale occurred.

Is the Form 4 transaction likely to impact Roivant’s stock price?

Given the small size (≈0.5 % of holdings) and tax-related nature, analysts view the impact as negligible.

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

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Accepted by SEC EDGAR 07/30/2025 - 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 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)
07/28/2025

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	07/28/2025		F		1,919(1)	D	$11.35	397,553	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	07/30/2025
	** 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.
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