0001209191-20-036807.txt : 20200615 0001209191-20-036807.hdr.sgml : 20200615 20200615193927 ACCESSION NUMBER: 0001209191-20-036807 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200611 FILED AS OF DATE: 20200615 DATE AS OF CHANGE: 20200615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cheruvu Pavan CENTRAL INDEX KEY: 0001731741 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37418 FILM NUMBER: 20964617 MAIL ADDRESS: STREET 1: C/O AXOVANT SCIENCES, INC. STREET 2: 11 TIMES SQUARE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axovant Gene Therapies Ltd. CENTRAL INDEX KEY: 0001636050 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 981333697 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 11-12 ST. JAMES'S SQUARE STREET 2: SUITE 1, 3RD FLOOR CITY: LONDON STATE: X0 ZIP: SW1Y 4LB BUSINESS PHONE: 44 203 318 9708 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: Axovant Sciences Ltd. DATE OF NAME CHANGE: 20150324 FORMER COMPANY: FORMER CONFORMED NAME: Axovant Sciences, Inc. DATE OF NAME CHANGE: 20150324 FORMER COMPANY: FORMER CONFORMED NAME: Roivant Neurosciences Ltd. DATE OF NAME CHANGE: 20150309 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-06-11 0 0001636050 Axovant Gene Therapies Ltd. AXGT 0001731741 Cheruvu Pavan C/O AXOVANT GENE THERAPIES LTD. 11 TIMES SQUARE, 33RD FLOOR NEW YORK NY 10036 1 1 0 0 Principal Executive Officer Common Shares 2020-06-11 4 A 0 22591 0.00 A 30091 D Common Shares 2020-06-11 4 F 0 9755 3.09 D 20336 D Restricted Stock Units 2020-06-11 4 D 0 22591 0.00 D Common Shares 22591 22590 D The shares were sold on behalf of the Reporting Person in the open market to cover withholding taxes relating to the settlement of the vested restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. 50% of the common shares underlying the restricted stock units vested on January 31, 2020 but settlement of such portion of the restricted stock units was delayed until transactions acceptable under the Issuer's insider trading policy were permitted. 50% of the common shares underlying the restricted stock units vest on January 31, 2020 and the remainder vest on July 31, 2020, subject to the Reporting Person providing continuous service to the Issuer through each such date. /s/ Alison Haggerty, Attorney-In-Fact 2020-06-15