0000950103-22-006474.txt : 20220415 0000950103-22-006474.hdr.sgml : 20220415 20220415184905 ACCESSION NUMBER: 0000950103-22-006474 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200615 FILED AS OF DATE: 20220415 DATE AS OF CHANGE: 20220415 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Legorreta Pablo G. CENTRAL INDEX KEY: 0001507678 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39329 FILM NUMBER: 22830831 MAIL ADDRESS: STREET 1: 110 E 59TH STREET STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Legorreta Pablo DATE OF NAME CHANGE: 20101213 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/A 1 dp171118_4a.xml FORM 4/A X0306 4/A 2020-06-15 2020-06-22 0 0001802768 Royalty Pharma plc RPRX 0001507678 Legorreta Pablo G. C/O ROYALTY PHARMA PLC 110 E. 59TH STREET NEW YORK NY 10022 1 1 1 0 CEO, Chairman of the Board ICAI Interests 0 2020-06-15 4 A 0 1719074 0 A Limited Partnership interests in RPI US Partners 2019, LP 1719074 1719074 I By Legorreta Investments LLC 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. These ICAI Interests represent a grant of up to 1,719,074 RPI US LP Interests and expire on December 15, 2023. The full number of RPI US LP Interests is issuable in respect of these ICAI Interests 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 number of RPI US LP Interests issuable in respect of these ICAI Interests scales linearly from 0% at $20.51 per share to 100% at $32.30 per share. This amendment to Form 4 is being filed to correct the terms and the number of ICAI Interests that was incorrectly reported on the Reporting Person's original Form 4 due to an inadvertent administrative error. /s/ Jason Mehar, as Attorney-in-Fact, for Pablo G. Legorreta 2022-04-15