Rain Oncology Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows, 37 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-04-27: Reporting owner Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP | Cormorant Private Healthcare Fund II, LP; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2021-04-27: Reporting owner LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL; Form 3; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2021-04-27: Reporting owner LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL; Form 3; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2021-04-27: Reporting owner LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL; Form 3; Security Series A Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-04-27 | Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP | Cormorant Private Healthcare Fund II, LP Director | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,512,561 0 owned after | no price filed | 2021-04-29 | |
| 2021-04-27 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-27 | ||
| 2021-04-27 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-27 | ||
| 2021-04-27 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-27 | ||
| 2021-04-27 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-27 | ||
| 2021-04-27 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-27 | ||
| 2021-04-27 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BIOTECHNOLOGY VALUE FUND II LP | BVF Partners OS Ltd. | Biotechnology Value Trading Fund OS LP | BVF GP HOLDINGS LLC | BVF II GP LLC | BVF I GP LLC | BVF INC/IL | BVF PARTNERS L P/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-27 | ||
| 2021-04-27 | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH | PERCEPTIVE ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −949,992 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-27 | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH | PERCEPTIVE ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,195,792 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-27 | Boxer Asset Management Inc. | LEWIS JOSEPH | Boxer Capital, LLC 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,263,986 3,022,489 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | Davis Aaron I. | MVA Investors, LLC Director, 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,263,986 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | Davis Aaron I. | MVA Investors, LLC Director, 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −86,097 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | Radovich Peter Director | 4 | Series A Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −9,500 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | BERGER FRANKLIN M Director | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −189,998 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | BERGER FRANKLIN M Director | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −578,397 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | Doebele Robert Officer (EVP, Chief Scientific Officer) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,327 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-27 | Vellanki Avanish Director, Officer (President and CEO) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,108 0 owned after | $0.00 | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −115,293 832,261 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −832,261 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,068,554 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −84,350 553,359 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −553,359 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −837,397 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,390 152,176 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −152,176 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-23 | LAMPERT MARK N | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BVF GP HOLDINGS LLC | BVF II GP LLC | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND II LP | BVF I GP LLC | BVF INC/IL Other (See Explanation of Responses) | Other (See Explanation of Responses) | | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −134,515 0 owned after | no price filed | 2021-04-27 | |
| 2021-04-22 holding as of filing | EDELMAN JOSEPH | PERCEPTIVE ADVISORS LLC | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | EDELMAN JOSEPH | PERCEPTIVE ADVISORS LLC | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | Boxer Asset Management Inc. | Boxer Capital, LLC | LEWIS JOSEPH 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | MVA Investors, LLC | Davis Aaron I. Director, 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | MVA Investors, LLC | Davis Aaron I. Director, 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | Radovich Peter Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | BERGER FRANKLIN M Director | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | BERGER FRANKLIN M Director | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | Doebele Robert Officer (EVP, Chief Scientific Officer) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | Vellanki Avanish Director, Officer (President and CEO) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2021-04-22 | ||
| 2021-04-22 holding as of filing | Chen Bihua | Cormorant Global Healthcare Master Fund, LP | Cormorant Private Healthcare Fund II, LP | Cormorant Asset Management, LP | Cormorant Private Healthcare Fund III LP Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2021-04-22 |