SEC Records on Roivant Sciences and NovaQuest Capital Management
Submitted | Jan. 12, 2024 |
Est. Completion | July 12, 2024 |
MuckRock users can file, duplicate, track, and share public records requests like this one. Learn more.
Communications
From: Jordan Lassiter
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. ยง 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
From: Security And Exchange Commission, Office Of The Inspector General
Your request was successfully submitted and sent to the appropriate SEC division or office.
Back to form https://www.sec.gov/forms/request_public_docs
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on Jan. 14, 2024. Please let me know when I can expect to receive a response.
Thanks for your help, and let me know if further clarification is needed.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on Jan. 14, 2024. Please let me know when I can expect to receive a response.
Thanks for your help, and let me know if further clarification is needed.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on Jan. 14, 2024. Please let me know when I can expect to receive a response.
Thanks for your help, and let me know if further clarification is needed.
From: Security And Exchange Commission, Office Of The Inspector General
-----Original Message-----
From: Churchman, Tina
Sent: Thursday, April 25, 2024 3:17 PM
To: 157223-95834219@requests.muckrock
Subject: FW: A new fax has arrived from +17578348955 (Part 1 of 1) on Channel 0 (24-01180-FOIA status update)
Mr. Lassiter,
This email is in reference to the attached FOIA request concerning "Records on Roivant Sciences and NovaQuest Capital Management between January 2013 and January 2024.
We are still consulting with other SEC staff regarding your request. We will advise you of our findings as soon as we receive an update of any responsive information.
In the interim, if you have any questions, please contact me.
Regards,
Tina L. Churchman
U.S. Securities & Exchange Commission
the Office of Support Operations (OSO)
Station Place II, 100 F. Street, N.E.
Washington, DC 20549
churchmant@sec.gov
(202) 551-8330
-
Ae5183ecc-98f3-4194-9a58-c8e3bbc4f393
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on Jan. 14, 2024. Please let me know when I can expect to receive a response.
Thanks for your help, and let me know if further clarification is needed.
From: Security And Exchange Commission, Office Of The Inspector General
Mr. Lassiter,
Thank you for your inquiry. Please be advised we have received potentially responsive records and have started processing them. We anticipate sending you our response by July 12, 2024.
In the interim, if you have any questions, please contact me.
Warmest regards,
Tina L. Churchman
U.S. Securities & Exchange Commission
the Office of Support Operations (OSO)
Station Place II, 100 F. Street, N.E.
Washington, DC 20549
churchmant@sec.gov<mailto:churchmant@sec.gov>
(202) 551-8330
-
~WRD0000
Files
pages