Roivant Sciences Ltd. - 18 Oct 2021 Form 4 Insider Report for Arbutus Biopharma Corp (ABUS)

Role
10%+ Owner
Signature
/s/ Matt Maisak, Authorized Signatory
Issuer symbol
ABUS
Transactions as of
18 Oct 2021
Net transactions value
$0
Form type
4
Filing time
20 Oct 2021, 17:14:24 UTC
Previous filing
02 Aug 2021
Next filing
07 Oct 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ABUS Common shares, without par value Conversion of derivative security +22,833,922 +143% 38,847,462 18 Oct 2021 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ABUS Series A participating convertible preferred shares Conversion of derivative security -1,164,000 -100% 0 18 Oct 2021 Common shares 1,164,000 $7.13 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On October 18, 2021, 1,164,000 Series A participating convertible preferred shares of the Issuer held by the Reporting Person, which were previously acquired by the Reporting Person in two tranches in October 2017 and January 2018, mandatorily converted into 22,833,922 common shares, without par value (the "Common Shares"), of the Issuer, in accordance with their terms.
F2 Includes 16,013,540 Common Shares that were previously acquired by the Reporting Person in 2015.