Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-21-004170
Date:2021-01-31
Issuer: QUOTIENT LTD (QTNT)
Original Submission Date:

Reporting Person:

SHROFF ZUBEEN
C/O GALEN PARTNERS,
680 WASHINGTON BLVD STAMFORD, CT 06901

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
ORDINARY SHARES 2021-01-31 M 7,528 a $0.00 68,803 direct
ORDINARY SHARES 2021-01-31 0 $0.00 7,329,074 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2021-01-31 deemed execution date M 6,044 (d) ordinary shares 6,044 $0.00 18,132 direct
RESTRICTED STOCK UNITS 0.0 2021-01-31 deemed execution date M 1,484 (d) ordinary shares 1,484 $0.00 4,450 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 11.62 2021-01-31 deemed execution date 0 ( ) 2025-10-31 ordinary shares 7,505 $11.62 7,505 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 8.0 2021-01-31 deemed execution date 0 ( ) 2024-04-29 ordinary shares 5,000 $8.00 5,000 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 9.95 2021-01-31 deemed execution date 0 ( ) 2024-10-31 ordinary shares 5,025 $9.95 5,025 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 5.73 2021-01-31 deemed execution date 0 ( ) 2026-10-31 ordinary shares 8,726 $5.73 8,726 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 5.21 2021-01-31 deemed execution date 0 ( ) 2027-10-31 ordinary shares 9,597 $5.21 9,597 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 6.41 2021-01-31 deemed execution date 0 ( ) 2028-10-31 ordinary shares 6,240 $6.41 6,240 direct
ORDINARY SHARES OPTION (RIGHT TO BUY) 7.78 2021-01-31 deemed execution date 0 ( ) 2029-10-31 ordinary shares 8,158 $7.78 8,158 direct
ORDINARY SHARE OPTION (RIGHT TO BUY) 4.55 2021-01-31 deemed execution date 0 ( ) 2030-10-31 ordinary shares 13,611 $4.55 13,611 direct
Footnotes
IDfootnote
f1 restricted stock units convert into ordinary shares on a one-for-one basis.
f2 includes 6,613,590 ordinary shares held of record by galen v, 564,780 ordinary shares held by galen international v, and 150,704 ordinary shares held of record by galen management, llc. mr. shroff is amanaging director of galen management, llc, and shares voting and dispositive power over the securities held by galen v, galen international v and galen management, llc. the reporting person disclaimsbeneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.
f3 all 7,505 options have vested and remain exercisable.
f4 all 5,000 options have vested and remain exercisable
f5 all 5,025 options have vested and remain exercisable.
f6 all 8,726 options have vested and remain exercisable.
f7 all 9,597 options have vested and remain exercisable.
f8 4,160 options have vested and remain exercisable, and 2,080 options will vest on october 31, 2021.
f9 2,719 options vested on october 31, 2020 and remain exercisable, and the remaining 5,439 options will vest in two equal annual installments on october 31, 2021 and october 31, 2022.
f10 on october 31, 2020, the reporting person was granted 24,176 restricted stock units, of which 6,044 have vested and have been exercised. the remaining 18,132 restricted stock units will vest in three equal installments on april 30, 2021, july 31, 2021 and october 31, 2021.
f11 on october 31, 2020, the reporting person was granted 5,934 restricted stock units, of which 1,484 have vested and have been exercised. the remaining 4,450 restricted stock units will vest in three equal installments on april 30, 2021, july 31, 2021 and october 31, 2021.
f12 the options vest and become exercisable on october 31, 2021.
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