Roivant CAO settles tax on 3,880 vested shares

Roivant’s Chief Accounting Officer had shares withheld for RSU tax obligations and now holds over 100,000 Common Shares directly.

Rhea-AI Filing Summary

Roivant Sciences Ltd. (ROIV) reports that Chief Accounting Officer Jennifer Humes had 3,880 Common Shares withheld on September 20, 2026, at $39.77 per share to satisfy tax withholding obligations upon vesting and settlement of previously granted RSUs. After this tax-withholding disposition, she directly holds 106,419 Common Shares, which include shares acquired under the company’s Employee Stock Purchase Plan. No transactions are reported as made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Tax Withholding: 3,880 shares

Tax Withholding 1 txn

Insider Humes Jennifer

Role Chief Accounting Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Shares F1, F2	3,880	$39.77	$154K

Holdings After Transaction: Common Shares — 106,419 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 Company's Employee Stock Purchase Plan.

Key Figures

Shares withheld for tax: 3,880 shares Withholding price per share: $39.77 per share Shares held after transaction: 106,419 shares +2 more

5 metrics

Shares withheld for tax 3,880 shares Common Shares net-settled on September 20, 2026 to satisfy RSU tax withholding obligations

Withholding price per share $39.77 per share Price used for the 3,880 Common Shares withheld for tax on September 20, 2026

Shares held after transaction 106,419 shares Direct Common Share holdings of Chief Accounting Officer Jennifer Humes after the tax-withholding disposition

Exercise price or tax liability shares 3,880 shares Total shares used for payment of tax liability reported in this Form 4

Exercise price or tax liability transactions 1 transaction Count of Form 4 transactions coded as payment of exercise price or tax liability

Key Terms

RSUs, net settlement, Employee Stock Purchase Plan, tax withholding obligations

4 terms

RSUs financial

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

RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.

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 Company'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.

tax withholding obligations financial

"in order to satisfy applicable tax withholding obligations in connection with the vesting"

FAQ

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

What insider transaction did ROIV report for Chief Accounting Officer Jennifer Humes?

Roivant Sciences reported that 3,880 Common Shares were withheld from Chief Accounting Officer Jennifer Humes on September 20, 2026 to pay tax withholding obligations related to the vesting and settlement of previously granted RSUs.

At what price were the ROIV shares withheld in this Form 4 transaction?

The 3,880 Common Shares were withheld at a price of $39.77 per share, as part of the net settlement to cover tax withholding obligations arising from the vesting and settlement of RSUs held by Chief Accounting Officer Jennifer Humes.

How many ROIV shares does Jennifer Humes hold after the reported transaction?

Following the tax-withholding disposition, Chief Accounting Officer Jennifer Humes directly holds 106,419 Common Shares of Roivant Sciences Ltd. This amount includes Common Shares that were purchased under the company’s Employee Stock Purchase Plan.

Was the ROIV insider transaction made under a Rule 10b5-1 trading plan?

No. The filing indicates that no Rule 10b5-1 trading plan is reported for this transaction. The share disposition resulted from net settlement to satisfy tax withholding obligations on vesting RSUs, not from an open-market trading plan.

What is the nature of the Form 4 code F transaction reported by ROIV?

The Form 4 reports a code F transaction, described as payment of tax liability by delivering or withholding securities. In this case, Roivant net-settled 3,880 RSU-related shares for Chief Accounting Officer Jennifer Humes to cover applicable tax withholding upon vesting.

Does the ROIV Form 4 indicate any derivative positions for Jennifer Humes?

No. The Form 4’s derivative section is empty, indicating no derivative transactions or remaining derivative positions are reported in this filing for Chief Accounting Officer Jennifer Humes. The filing focuses solely on the RSU-related tax withholding in Common Shares.

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

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Available on EDGAR 09/22/2026 - 09:01 PM Accepted by SEC EDGAR 09/22/2026 - 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^*

Humes Jennifer

(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)
	Chief Accounting Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/20/2026

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	09/20/2026		F		3,880(1)	D	$39.77	106,419(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 Company's Employee Stock Purchase Plan.

Remarks:

Exhibit 24 - Power of Attorney

	By: /s/ Sam Kaplan, as Attorney-in-Fact for Jennifer Humes	09/22/2026
	** 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)