0001140361-23-060204.txt : 20231229 0001140361-23-060204.hdr.sgml : 20231229 20231229162943 ACCESSION NUMBER: 0001140361-23-060204 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231227 FILED AS OF DATE: 20231229 DATE AS OF CHANGE: 20231229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Giuliani Mario Germano CENTRAL INDEX KEY: 0001814882 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39329 FILM NUMBER: 231528050 MAIL ADDRESS: STREET 1: C/O GISEV FAMILY OFFICE SA STREET 2: CONTRADA DI SASSELLO 2 CITY: LUGANO STATE: V8 ZIP: 6900 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Avara Management Ltd CENTRAL INDEX KEY: 0001814934 ORGANIZATION NAME: STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39329 FILM NUMBER: 231528051 BUSINESS ADDRESS: STREET 1: C/O GISEV FAMILY OFFICE SA STREET 2: CONTRADA DI SASSELLO 2 CITY: LUGANO STATE: V8 ZIP: 6900 BUSINESS PHONE: 41919732890 MAIL ADDRESS: STREET 1: C/O GISEV FAMILY OFFICE SA STREET 2: CONTRADA DI SASSELLO 2 CITY: LUGANO STATE: V8 ZIP: 6900 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Royalty Pharma plc CENTRAL INDEX KEY: 0001802768 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 883-0200 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 4 1 form4.xml FORM 4 X0508 4 2023-12-27 0001802768 Royalty Pharma plc RPRX 0001814934 Avara Management Ltd C/O GISEV (SUISSE) SA, VIA NASSA 11 LUGANO V8 6900 SWITZERLAND true 0001814882 Giuliani Mario Germano C/O GISEV FAMILY OFFICE SA VIA NASSA 11 LUGANO V8 6900 SWITZERLAND true true false Class A Ordinary Shares 2023-12-27 4 S 0 41729 28.0082 D 2753186 I See Footnotes Class A Ordinary Shares 2023-12-28 4 S 0 209863 28.2038 D 2543323 I See Footnotes Class A Ordinary Shares 7795072 I See Footnotes Class A Ordinary Shares 22225000 I See Footnotes Class A Ordinary Shares 50000 I See Footnotes Class A Ordinary Shares 7747 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.06 per share, inclusive. The Reporting Persons undertake to provide to Royalty Pharma plc, any security holder of Royalty Pharma plc, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Reflects securities held directly by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. The Reporting Person may be deemed to beneficially own the securities reported herein directly or indirectly controlled by him, but such Reporting Person (other than the direct holder to the extent of his direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owner of any securities reported herein or is subject to Section 16. Reflects securities held directly by Skyeline Management Ltd. Skyeline Management Ltd is wholly-owned by Avara Management Ltd. Avara Management Ltd is wholly-owned by M. Germano Giuliani. Reflects securities held directly by MGG Strategic SICAF SIF S.A. - MGG Strategic, a Luxembourg company ("MGG Strategic"). MGG Strategic is a sub-fund managed and administered by MGG Strategic SICAF SIF S.A. ("MGG SICAF"). A board of directors consisting of M. Germano Giuliani, Achille G. Severgnini, Marco Sterzi and Franco Toscano has voting and dispositive power over the securities managed by MGG SICAF. Each member of the board disclaims beneficial ownership over such shares. MGG SICAF is owned by the MGG Trust of which M. Germano Giuliani is the beneficiary. The MGG Trust is the 100% economic owner of the shares held by MGG Strategic. M. Germano Giuliani disclaims beneficial ownership over the shares beneficially owned by MGG Strategic. The trustee of the MGG Trust is GISEV Trustees Limited. The protector of the MGG Trust is Achille G. Severgnini, who has the power to remove and replace the trustee of the MGG Trust. Reflects securities held by the spouse of M. Germano Giuliani. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.47 per share, inclusive. The Reporting Persons undertake to provide to Royalty Pharma plc, any security holder of Royalty Pharma plc, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Avara Management Ltd By: GISEV (Suisse) SA, Corporate Director to GS Corp LTD, Corporate Director to Avara /s/ Achille G. Severgnini, Director 2023-12-29 MARIO GERMANO GIULIANI By: /s/ Achille G. Severgnini, Attorney-in-Fact 2023-12-29