0001209191-22-051637.txt : 20220930 0001209191-22-051637.hdr.sgml : 20220930 20220930162350 ACCESSION NUMBER: 0001209191-22-051637 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220928 FILED AS OF DATE: 20220930 DATE AS OF CHANGE: 20220930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reddoch James F. CENTRAL INDEX KEY: 0001814872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39329 FILM NUMBER: 221284357 MAIL ADDRESS: STREET 1: C/O ROYALTY PHARMA PLC STREET 2: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 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 doc4.xml FORM 4 SUBMISSION X0306 4 2022-09-28 0 0001802768 Royalty Pharma plc RPRX 0001814872 Reddoch James F. C/O ROYALTY PHARMA PLC 110 E. 59TH STREET NEW YORK NY 10022 0 1 0 0 EVP & Chief Scientific Officer Class A Ordinary Shares 2022-09-28 4 S 0 100000 41.2267 D 820800 I By Reddoch RPI LLC Class A Ordinary Shares 25030 I By IRA LP interests in RPI US Partners 2019, LP 2022-08-12 5 G 0 E 2400 0.00 D Class A Ordinary Shares 24000 478870 I By Reddoch RPI LLC The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.03 to $41.57 per share. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. No limited partnership interests in RPI US Partners 2019, LP ("RPI US LP") are being exchanged by the Reporting Person. Each limited partnership interest in RPI US LP ("RPI US LP Interest") may be exchanged for ten Class B Interests in Royalty Pharma Holdings Limited ("Holdings"). Each Class B Interest in Holdings so distributed will be exchanged for one Class A Ordinary Share of the Issuer. Any exchanges will be made pursuant to the terms of the Exchange Agreement dated June 16, 2020, among the Issuer, Holdings, RPI US LP, RPI International Holdings 2019, LP, RPI International Partners 2019, LP and RPI EPA Holdings, LP (the "Exchange Agreement"). No additional value will be paid by the Reporting Person in connection with an exchange. The Reporting Person made a charitable donation of RPI US LP Interests. No Class A Ordinary Shares or RPI US LP Interests were sold. Represents 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. Upon such exchange, each Class B Interest in Holdings issued in exchange for a RPI US LP Interest will be exchanged for one Class A Ordinary Share of the Issuer for no additional value. The Reporting Person has agreed to retain and not sell 478,870 RPI US LP Interests convertible into 4,788,700 Class A Ordinary Shares before February 2025 pursuant to an agreement by and between the Reporting Person and RP Management, LLC. This restriction is waivable under certain circumstances. /s/ Sean Weisberg, as Attorney-in-Fact for James F. Reddoch 2022-09-30