Filing Details
- Accession Number:
- 0000899243-22-035366
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-11-08 16:30:24
- Reporting Period:
- 2022-11-04
- Accepted Time:
- 2022-11-08 16:30:24
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1724979 | Rain Therapeutics Inc. | RAIN | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1465914 | I. Aaron Davis | 12860 El Camino Real, Suite 300 San Diego CA 92130 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2022-11-04 | 972,212 | $5.83 | 2,147,212 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Non-Voting Common Stock | Acquisiton | 2022-11-04 | 400,000 | $5.83 | 400,000 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
3,422,489 | No | 4 | P | Indirect |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Non-Voting Common Stock | $0.00 | 79,726 | 79,726 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
79,726 | 79,726 | Indirect |
Footnotes
- These securities are owned directly by Boxer Capital, LLC ("Boxer Capital"). The reporting person may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of (i) Boxer Capital, (ii) Boxer Asset Management Inc., (iii) the reporting person, (iv) MVA Investors, LLC and (v) Joe Lewis (collectively, the "Boxer Group"). The reporting person disclaims beneficial ownership of these securities to the extent he does not have a pecuniary interest therein.
- Each share of Non-Voting Common Stock is convertible into one share of Common Stock at any time at the option of the holder without payment or additional consideration, subject to a 9.99% beneficial ownership limitation which may be increased or decreased by the holder upon 61 days' notice to the Issuer.
- These securities are owned directly by MVA Investors, LLC, which may be deemed to be a member of the Boxer Group. The reporting person disclaims beneficial ownership of these securities to the extent he does not have a pecuniary interest therein.