Statement of Changes in Beneficial Ownership (4)
February 04 2022 - 4:39PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Doebele Robert |
2. Issuer Name and Ticker or Trading Symbol
Rain Therapeutics Inc.
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RAIN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Chief Scientific Officer |
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(Last)
(First)
(Middle)
C/O RAIN THERAPEUTICS INC., 8000 JARVIS AVENUE, SUITE 204 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/7/2022 |
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(Street)
NEWARK, CA 94560
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | $12.01 | 1/7/2022 | | A | | 72000 | | (1) | 1/7/2032 | Common Stock | 72000 | $0.00 | 72000 | D | |
| Explanation of Responses: |
| (1) | This option represents a right to purchase a total of 72,000 shares of the Issuer's common stock, one quarter of which will vest on January 7, 2023, with the remaining three quarters vesting in equal monthly installments through January 7, 2026, subject to the Reporting Person's continued service to the Issuer. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Doebele Robert
C/O RAIN THERAPEUTICS INC.
8000 JARVIS AVENUE, SUITE 204
NEWARK, CA 94560 |
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| EVP, Chief Scientific Officer |
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Signatures
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| /s/ Nelson Cabatuan, Attorney-in-fact for Robert Doebele | | 2/4/2022 |
| **Signature of Reporting Person | Date |
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