Roivant Sciences SEC Filings

Roivant Sciences (ROIV) — Form 4 insider transaction: President & Immunovant CEO Eric Venker reported option exercises and same‑day sales under a Rule 10b5‑1 plan. On 10/09/2025, he exercised 104,940 stock options at $15.85 (Code M) and sold 104,940 Common Shares at a weighted average price of $16.30 (Code S). On 10/13/2025, he exercised 20,727 options at $15.85 and sold 20,727 shares at a weighted average price of $16.25.

Following these transactions, beneficial ownership of Common Shares was 1,504,959 (direct). The options exercised were part of awards with a vesting commencement date of December 27, 2019, now fully vested, and an expiration date of March 31, 2026. The reported sales were effected pursuant to a Rule 10b5‑1 trading plan adopted on March 28, 2025.

Roivant Sciences Ltd. (ROIV) filed a Notice of Proposed Sale under Rule 144 reporting the planned sale of 104,940 common shares (approximately 104,940 shares) with an aggregate market value of $1,710,040.33, scheduled for 10/09/2025 on NASDAQ. The filing states these shares were acquired via an options exercise on 10/09/2025 tied to a grant dated 03/26/2020, with payment by wire. The filer identifies prior sales by the same person totaling multiple transactions between 07/21/2025 and 10/08/2025, including several multi‑hundred‑thousand share disposals and gross proceeds listed per trade. The notice certifies the signer has no undisclosed material adverse information.

Insider transactions by Eric Venker at Roivant Sciences (ROIV) show multiple option exercises and open-market sales executed under a Rule 10b5-1 plan. Between 10/06/2025 and 10/08/2025, the reporting person exercised options at strike prices of $15.85, $7.45, and $3.85 and sold a total of 665,159 common shares at weighted-average prices reported up to $16.34. Following these transactions the filing reports beneficial ownership of 1,504,959 common shares. Several exercised option grants are described as fully vested or subject to stated vesting schedules.

Form 144 notice reports a proposed sale of 138,602 common shares of Roivant Sciences Ltd. (ROIV) through Rockefeller Financial LLC on 10/08/2025 on NASDAQ, with an aggregate market value of $2,244,797.15. The shares were acquired the same day through option exercises granted on 03/26/2020 and 11/20/2017, totaling 138,602 shares and paid by wire. The filer also discloses multiple recent sales by the same account over the past three months, including large transactions on 09/19/2025 (683,818 shares, gross proceeds $10,220,412.21) and several other sales totaling over $38M in gross proceeds across listed dates. The form includes the filers representation about absence of undisclosed material adverse information and standard signature attestation.

Roivant Sciences Ltd. (ROIV) filed a Form 144 disclosing a proposed sale of 355,161 common shares by a covered person through Rockefeller Financial LLC on 10/07/2025, with an aggregate market value of $5,734,289.35 and 682,881,743 shares outstanding. The filing shows those shares were acquired on 10/07/2025 by exercise of stock options granted on 03/26/2020, 11/20/2017, and 04/20/2022, with 67,171, 107,131, and 180,859 shares from each grant respectively, and payment by wire.

The form also lists multiple sales by Eric Venker in the prior three months totaling over 1.99 million shares across trades between 07/21/2025 and 10/06/2025 with gross proceeds exceeding $31M (sum of reported proceeds). The filer certifies no undisclosed material adverse information and follows the Rule 144 disclosure requirements.

Roivant Sciences Ltd. insider filing reports a proposed sale under Rule 144 of 171,396 common shares with an aggregate market value of $2,800,364.71 to be sold on 10/06/2025 through Rockefeller Financial LLC on NASDAQ. The shares were acquired the same day via option exercises with grant dates in 2017, 2020, and 2022, and payment was wired on 10/06/2025. The filing also discloses multiple recent sales by the same account during the past three months, including large transactions on 07/21/2025, 08/20/2025, 09/19/2025, 09/22/2025, and 09/23/2025, with individual gross proceeds shown per sale.

Roivant Sciences Ltd. filed a Form S-3ASR prospectus dated October 3, 2025 establishing a base shelf and a Sales Agreement to offer common shares and other securities on a continuous or delayed basis. The prospectus expressly permits the issuance of Common Shares up to an aggregate offering price of $400.0 million pursuant to a Sales Agreement dated September 19, 2022 with TD Securities (USA) LLC (successor to Cowen and Company, LLC); as of filing $0 of that $400.0 million had been sold. The company states it has an active share repurchase program and may or may not use this registration statement.

The document discloses capital structure data as of June 30, 2025: 682,229,832 Common Shares issued and outstanding, 138,728,031 shares issuable upon exercise of options (weighted average exercise price $8.70), and 72,009,936 shares issuable upon settlement of RSUs/PRSU/CVARs. Audited financial statements for year ended March 31, 2025 and internal control effectiveness are reported by Ernst & Young LLP. The prospectus highlights extensive risk factors related to biopharmaceutical development, capital needs, regulatory approval, intellectual property, controlling shareholders, dilution and litigation risk, and states Common Shares trade on Nasdaq under ROIV.

Richard Pulik, Chief Financial Officer of Roivant Sciences Ltd. (ROIV) reported the disposition of 2,341 common shares on 09/28/2025 at a price of $15.17 per share. The Form 4 states this disposition represents a net settlement of previously granted restricted stock units (RSUs) to satisfy tax withholding obligations upon vesting. After the transaction, the reporting person beneficially owns 389,508 shares. The filing was signed on behalf of Mr. Pulik by an attorney-in-fact on 09/30/2025. All information is limited to the transaction details disclosed in the Form 4.

Roivant Sciences insider sale and post-transaction holding. The company's CFO and director, Richard Pulik, reported a disposition of 2,129 common shares on 09/20/2025 at a price of $15.04 per share. The filing states this disposition represents a "net settlement" to satisfy tax withholding related to previously granted RSUs. After the transaction Pulik beneficially owns 391,849 shares.