Biotechnology Value Fund L P's Form 4 filing
Rain Oncology Inc. · filed Nov 10, 2022
- Accession no.
- 0000921895-22-002972
- Filed
- Nov 10, 2022, 6:31 PM ET
- Trade date
- Nov 8, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $9.97M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Biotechnology Value Fund L PCIK 0000918923 | Director, Other: See Explanation of Responses |
| BVF Partners L PCIK 0001055947 | Director, 10% Owner, Other: See Explanation of Responses |
| BVF IncCIK 0001056807 | Director, 10% Owner, Other: See Explanation of Responses |
| Biotechnology Value Fund II LPCIK 0001102444 | Director, Other: See Explanation of Responses |
| Lampert Mark NCIK 0001233840 | Director, 10% Owner, Other: See Explanation of Responses |
| Biotechnology Value Trading Fund OS LPCIK 0001660683 | Director, Other: See Explanation of Responses |
| BVF Partners OS Ltd.CIK 0001660684 | Director, Other: See Explanation of Responses |
| BVF I GP LLCCIK 0001803805 | Director, Other: See Explanation of Responses |
| BVF II GP LLCCIK 0001803806 | Director, Other: See Explanation of Responses |
| BVF GP Holdings LLCCIK 0001803809 | Director, 10% Owner, Other: See Explanation of Responses |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2022 | Non-Voting Common Stock, $0.001 par value | PPurchaseAcquired | +970,171 | $5.83 | +$5,656,096.93 | 2,870,985 | Direct | |
| Nov 8, 2022 | Non-Voting Common Stock, $0.001 par value | PPurchaseAcquired | +685,330 | $5.83 | +$3,995,473.9 | 2,076,085 | Direct | |
| Nov 8, 2022 | Non-Voting Common Stock, $0.001 par value | PPurchaseAcquired | +54,857 | $5.83 | +$319,816.31 | 341,547 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of the Reporting Persons may be deemed to be a director by deputization of the Issuer due to a member of Partners, Gorjan Hrustanovic, serving on the Board of Directors of the Issuer, and his agreement to transfer the economic benefit, if any, received upon the sale of any shares issuable upon exercise of any options to Partners.