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Filing Details

Accession Number:: 0000921895-21-001493
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-05-25 20:31:04
Reporting Period:: 2021-05-21

Accepted Time:: 2021-05-25 20:31:04
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1724979	Rain Therapeutics Inc.	RAIN	Investment Advice (6282)	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
918923	P L Fund Value Biotechnology	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	No	Yes
1055947	P/Il L Partners Bvf	44 Montgomery Street 40Th Floor San Francisco CA 94104	Yes	No	Yes	Yes
1056807	Bvf Inc/Il	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	Yes	No
1102444	Biotechnology Value Fund Ii Lp	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	No	Yes
1233840	N Mark Lampert	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	Yes	No
1660683	Biotechnology Value Trading Fund Os Lp	P.o. Box 309 Ugland House Grand Cayman E9 KY1-1104	No	No	No	Yes
1660684	Ltd. Os Partners Bvf	P.o. Box 309 Ugland House Grand Cayman E9 KY1-1104	No	No	No	Yes
1803805	Bvf I Gp Llc	44 Montgomery St., 40Th Floor San Francisco CA 94104	No	No	No	Yes
1803806	Bvf Ii Gp Llc	44 Montgomery St., 40Th Floor San Francisco CA 94104	No	No	No	Yes
1803809	Bvf Gp Holdings Llc	44 Montgomery St., 40Th Floor San Francisco CA 94104	No	No	No	Yes

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, $0.001 Par Value	Acquisiton	2021-05-21	66,242	$15.94	940,581	No	4	P	Direct
Common Stock, $0.001 Par Value	Acquisiton	2021-05-24	719	$15.90	941,300	No	4	P	Direct
Common Stock, $0.001 Par Value	Acquisiton	2021-05-21	48,152	$15.94	685,859	No	4	P	Direct
Common Stock, $0.001 Par Value	Acquisiton	2021-05-24	513	$15.90	686,372	No	4	P	Direct
Common Stock, $0.001 Par Value	Acquisiton	2021-05-21	7,592	$15.94	112,353	No	4	P	Direct
Common Stock, $0.001 Par Value	Acquisiton	2021-05-24	129	$15.90	112,482	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership
Non-Voting Common Stock, $0.001 Par Value	1,900,815	Direct
Non-Voting Common Stock, $0.001 Par Value	1,390,756	Direct
Non-Voting Common Stock, $0.001 Par Value	286,691	Direct

Footnotes

This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.
Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.
Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.
Each share of Non-Voting Common Stock may be converted at any time into one share of Common Stock at the option of its holder, subject to the beneficial ownership limitations provided for in the Issuer's amended and restated certificate of incorporation. Each share of Non-Voting Common Stock is convertible into 1 share of Common Stock. The Non-Voting Common Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such conversion.