0001802768-23-000032.txt : 20231114 0001802768-23-000032.hdr.sgml : 20231114 20231114193511 ACCESSION NUMBER: 0001802768-23-000032 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231113 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lloyd George W. CENTRAL INDEX KEY: 0001814899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39329 FILM NUMBER: 231408657 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 wk-form4_1700008499.xml FORM 4 X0508 4 2023-11-13 0 0001802768 Royalty Pharma plc RPRX 0001814899 Lloyd George W. C/O ROYALTY PHARMA PLC 110 EAST 59TH STREET NEW YORK NY 10022 0 1 0 0 EVP, Investments & CLO 0 Class A Ordinary Shares 2023-11-13 4 C 0 50000 0 A 80000 I By GWL 2020 G, LLC Class A Ordinary Shares 2023-11-13 4 C 0 100000 0 A 220000 I By GWL 2014 G, LLC Class A Ordinary Shares 495860 I By GWL 2013 NG, LLC Class A Ordinary Shares 273960 I By IRA Class A Ordinary Shares 3000 D Class A Ordinary Shares 4011 I By Spouse LP interests in RPI US Partners 2019, LP 0 2023-11-13 4 C 0 5000 0 D Class A Ordinary Shares 50000 245299 I By GWL 2020 G, LLC LP interests in RPI US Partners 2019, LP 0 2023-11-13 4 C 0 10000 0 D Class A Ordinary Shares 100000 162680 I By GWL 2014 G, LLC LP interests in RPI US Partners 2019, LP 0 Class A Ordinary Shares 81730 8173 I By GWL 2013 NG, LLC These Class A Ordinary Shares will be received by the Reporting Person in exchange for limited partnership interests in RPI US Partners 2019, LP ("RPI US LP"). Each limited partnership interest in RPI US LP ("RPI US LP Interest") will 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. This exchange 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 the exchange. The Reporting Person has agreed to retain and not sell Class A Ordinary Shares and RPI US LP Interests convertible into Class A Ordinary Shares representing approximately 4,573,096 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. 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. In addition to the holdings disclosed above, the Reporting Person and family vehicles controlled by the Reporting Person hold ICAI Interests exchangeable into 2,647,501 Class A Ordinary Shares. /s/ Sean Weisberg, as Attorney-in-Fact for George W. Lloyd 2023-11-14