Quiroga Cortes Isidoro Alfonso's Form 4/A amendment
AmendedRani Therapeutics Holdings, Inc. (RANI) · filed Nov 7, 2022
- Accession no.
- 0001104659-22-115487
- Filed
- Nov 7, 2022, 5:08 PM ET
- Trade date
- Oct 31-Nov 2, 2022
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 2, 2022
This filing lists 3 non-derivative transactions. Open-market purchases total $282.5K. It was filed 7 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 |
|---|---|
| Quiroga Cortes Isidoro AlfonsoCIK 0001854578 | 10% Owner |
| Aequanimitas Limited PartnershipCIK 0001953625 | 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 31, 2022 | Class A Common Stock | PPurchaseAcquired | +16,523 | $6.11F2 | +$100,977.01 | 5,218,821 | Indirect | |
| Nov 1, 2022 | Class A Common Stock | PPurchaseAcquired | +3,768 | $5.98F3 | +$22,533.39 | 5,222,589 | Indirect | |
| Nov 2, 2022 | Class A Common Stock | PPurchaseAcquired | +25,197 | $6.31F4 | +$158,955.27 | 5,247,786 | Indirect |
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.
- F1
This amendment to Isidoro Alfonso Quiroga Cortes' Form 4, originally filed with the SEC on November 2, 2022 (the "Original Form 4"), is being filed to include Aequanimitas Limited Partnership ("Aequanimitas") as a Reporting Person under the Original Form 4.
- F2
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.98 to $6.14 per share, inclusive. The reporting persons undertake to provide Rani Therapeutics Holdings, Inc., a Delaware corporation (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.96 to $6.22 per share, inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.01 to $6.50 per share, inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
Isidoro Alfonso Quiroga Cortes directly owns 100% of the issued and outstanding interest of the Aequanimitas Management LLC (the "General Partner"). The General Partner directly controls Aequanimitas as its general partner with the power to manage Aequanimitas. Isidoro Alfonso Quiroga Cortes is the sole limited partner of Aequanimitas.