SEC Records on Roivant Sciences and NovaQuest Capital Management

Jordan Lassiter
Email: Jordan@Lassiter.eu
January 10th, 2024

Securities and Exchange Commission
FOIA/PA Office
100 F Street, NE
Washington, DC 20549
Email: FOIA@sec.gov

ATTENTION: DETAILED REQUEST FOR RECORDS UNDER FOIA

Dear FOIA Officer,

I am submitting this request under the Freedom of Information Act (5 U.S.C. § 552) for records related to Roivant Sciences and its financial interactions with NovaQuest Capital Management. This request is prepared with precise detail to ensure thorough understanding and compliance.

Requester: Jordan Lassiter, Jordan@Lassiter.eu

Subject: Request for SEC Records on Roivant Sciences and NovaQuest Capital Management

Specific Records Requested:

Financial and Audit Reports: Financial statements, audit reports, and compliance documents of Roivant Sciences for the last five years, including any financial dealings with NovaQuest Capital Management.
SEC Filings and Disclosures: All SEC filings including Form 10-K, Form 10-Q, and other relevant disclosures by Roivant Sciences, especially those mentioning financial interactions or agreements with NovaQuest Capital Management.
Investigation and Enforcement Records: Any records of investigations, enforcement actions, or penalties involving Roivant Sciences or its dealings with NovaQuest Capital Management.
Communication Records: Correspondence between the SEC and Roivant Sciences or NovaQuest Capital Management on compliance, regulatory inquiries, or investigations, particularly those related to their mutual dealings.
Whistleblower Complaints: Records of whistleblower complaints against Roivant Sciences or NovaQuest Capital Management, along with any SEC responses or actions taken.
Joint Venture and Partnership Agreements: Information on any joint ventures, partnerships, or collaborative agreements between Roivant Sciences and NovaQuest Capital Management.
Legal Basis and Rationale:

Public Interest & Transparency: Access to information about Roivant Sciences and NovaQuest Capital Management is crucial for public knowledge regarding corporate practices, financial interactions, and regulatory compliance.
Accountability: These records are essential for understanding SEC oversight, corporate governance, and the nature of the relationship between these entities.
Fees and Costs:

Fee Waiver Request: Attached is a Fee Waiver Request Letter, citing public interest grounds.
Cost Limitation: Notification requested if costs exceed $200, with an itemized cost breakdown.
Enclosures: Fee Waiver Request Letter (Fee_Waiver_Letter_copy_1.pdf).

Intended Use of Information:
For public interest relating to corporate governance, regulatory adherence of Roivant Sciences, and its financial relationship with NovaQuest Capital Management, not for commercial purposes.

Acknowledgment Requested:
Kindly acknowledge this request and provide a tracking number.

I expect a complete and timely response as per the requirements of federal law under the FOIA.

Sincerely,

Jordan Lassiter