Filing Details

Accession Number:
0000921895-21-002316
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-23 20:05:20
Reporting Period:
2021-09-21
Accepted Time:
2021-09-23 20:05:20
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 Insider Title 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 Yes 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, $0.001 Par Value Acquisiton 2021-09-21 6,341 $13.94 1,479,460 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2021-09-21 4,102 $13.94 1,080,416 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2021-09-21 590 $13.94 170,582 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.