0000950103-20-018598.txt : 20200923 0000950103-20-018598.hdr.sgml : 20200923 20200923202824 ACCESSION NUMBER: 0000950103-20-018598 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200615 FILED AS OF DATE: 20200923 DATE AS OF CHANGE: 20200923 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DESOUZA ERROL B CENTRAL INDEX KEY: 0001213895 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39329 FILM NUMBER: 201193337 MAIL ADDRESS: STREET 1: 215 COLLEGE ROAD CITY: PARAMUS STATE: NJ ZIP: 07652 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Royalty Pharma plc CENTRAL INDEX KEY: 0001802768 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] 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 dp137241_4-desouza.xml FORM 4 X0306 4 2020-06-15 0 0001802768 Royalty Pharma plc RPRX 0001213895 DESOUZA ERROL B C/O ROYALTY PHARMA PLC. 110 E. 59TH STREET NEW YORK NY 10022 1 0 0 0 Class A Ordinary Shares 2020-06-18 4 A 0 8929 0 A 44644 D LP interests in RPI US Partners 2019, LP 0 2020-06-15 4 A 0 53915 0 A Class A Ordinary Shares 539150 53915 I By Errol Bento De Souza Revocable Trust The Reporting Person acquired beneficial ownership of Class B Interests in Royalty Pharma Holdings, Ltd. ("Holdings") and became entitled to indirect rights to exchange such Class B Interests for Class A Ordinary Shares of the Issuer in connection with a reorganization prior to closing of the Issuer's initial public offering (as more fully described in the Issuer's Registration Statement on Form S-1 (File No. 333-238632)). The reorganization involved the exchange of interests in Royalty Pharma Investments 2019 ICAV held by RPI US Partners 2019, LP ("RPI US LP") and RPI International Holdings 2019, LP ("RPI Intl. LP") for interests in Holdings. The reorganization and the acquisition of these exchange rights occurred on June 15, 2020. Represents limited partnership interests in RPI US Partners 2019, LP ("RPI US LP Interests"). Each RPI US LP Interest can be exchanged for ten Class B Interests in Holdings at any time and for no additional value, which exchange right does not expire until so converted. Each Class B Interest in Holdings issued in exchange for a RPI US LP Interest will be exchanged upon such exchange for one Class A Ordinary Share of the Issuer for no additional value. Includes RPI US LP Interests convertible into 39,010 Class A Ordinary Shares that are subject to forfeiture if and when the Class A Ordinary Shares attain a 20-trading day volume weighted average price of $32.30 or more after December 15, 2020 and on or before December 15, 2023. The amount of this forfeiture scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. /s/ Jason Mehar, as Attorney-in-Fact for Errol B. DeSouza 2020-09-23