Roivant CFO settles tax on 2,129 vested shares

Roivant Sciences’ CFO had shares withheld to cover taxes on RSU vesting, leaving a sizable direct holding.

Available on EDGAR 09/22/2026 - 06:27 PM EDT Accepted by SEC EDGAR 09/22/2026 - 06:26 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Roivant Sciences Ltd. (ROIV) reported that Chief Financial Officer Richard Pulik had 2,129 common shares withheld on September 20, 2026 to satisfy tax withholding obligations upon vesting of previously granted RSUs. The transaction was a net share settlement, not an open-market sale, and left him holding 269,681 common shares directly.

Insider Trade Summary

Tax Withholding: 2,129 shares

Tax Withholding 1 txn

Insider Pulik Richard

Role CFO

Type	Security	Shares	Price	Value
Tax Withholding	Common Shares F1	2,129	$39.77	$85K

Holdings After Transaction: Common Shares — 269,681 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.

Key Figures

Shares disposed for tax withholding: 2,129 shares Price per share in tax withholding: $39.77 per share Shares held after transaction: 269,681 shares +1 more

4 metrics

Shares disposed for tax withholding 2,129 shares Common shares net settled on September 20, 2026 to satisfy tax withholding obligations

Price per share in tax withholding $39.77 per share Valuation used for the 2,129 common shares withheld on September 20, 2026

Shares held after transaction 269,681 shares Common shares directly owned by CFO Richard Pulik after the September 20, 2026 transaction

Transactions for exercise price or tax liability 1 transaction, 2,129 shares Summary of Form 4 code F activity related to tax withholding obligations

Key Terms

Restricted Stock Units, net settlement, tax withholding obligations

3 terms

Restricted Stock Units financial

"RSUs previously granted to the reporting person in order to satisfy applicable tax"

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"

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 disclose for its CFO Richard Pulik?

Roivant Sciences disclosed that CFO Richard Pulik had 2,129 common shares withheld on September 20, 2026 to cover tax withholding obligations arising from the vesting and settlement of previously granted RSUs, via a net share settlement rather than an open-market sale.

How many Roivant Sciences (ROIV) shares does the CFO hold after this Form 4 transaction?

After the reported transaction, CFO Richard Pulik directly holds 269,681 common shares of Roivant Sciences Ltd. This figure reflects his position following the net share settlement used to satisfy tax withholding obligations on vested RSUs.

Was the ROIV CFO’s Form 4 transaction an open-market sale or tax withholding?

The transaction was for tax withholding, not an open-market sale. 2,129 shares were net settled and disposed of to satisfy applicable tax withholding obligations related to the vesting and settlement of the CFO’s previously granted RSUs.

At what price per share were the Roivant Sciences (ROIV) shares valued in this tax withholding transaction?

The 2,129 common shares used for tax withholding in the CFO’s transaction were valued at a price of $39.77 per share, as reported in the Form 4 for the September 20, 2026 net share settlement.

Was the ROIV CFO’s September 20, 2026 transaction under a Rule 10b5-1 trading plan?

No. The filing indicates no Rule 10b5-1 trading plan for this transaction. It is identified instead as a net share settlement to satisfy tax withholding obligations upon the vesting and settlement of RSUs granted to the CFO.

What type of equity award triggered the ROIV CFO’s tax withholding transaction?

The tax withholding transaction was triggered by the vesting and settlement of Restricted Stock Units (RSUs) previously granted to the CFO. The issuer net settled 2,129 shares to cover the associated tax withholding obligations.

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

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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)
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		2,129(1)	D	$39.77	269,681	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.

Remarks:

	By: /s/ Sam Kaplan, as Attorney-in-Fact for Richard Pulik	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)