Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-037387
Date:2022-06-14
Issuer: RAFAEL HOLDINGS, INC. (RFL)
Original Submission Date:

Reporting Person:

JONAS HOWARD S
C/O RAFAEL HOLDINGS, INC.
520 BROAD STREET NEWARK, NJ 07102

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS B COMMON STOCK, PAR VALUE $.01 PER SHARE 2022-06-14 A 132,980 a $1.88 132,980 direct
CLASS B COMMON STOCK, PAR VALUE $.01 PER SHARE 2022-06-14 A 319,150 a $1.88 452,130 direct
CLASS B COMMON STOCK, PAR VALUE $.01 PER SHARE 2022-06-14 0 $0.00 112,561 indirect f5
CLASS B COMMON STOCK, PAR VALUE $.01 PER SHARE 2022-06-14 0 $0.00 778 indirect
CLASS B COMMON STOCK, PAR VALUE $.01 PER SHARE 2022-06-14 0 $0.00 98,820 indirect
CLASS B COMMON STOCK, PAR VALUE $.01 PER SHARE 2022-06-14 0 $0.00 2,100 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 grant of restricted stock that vests as follows: 33,245 shares on each of september 14, 2022, december 14, 2022, march 14, 2023 and june 14, 2023.
f2 consists of restricted stock that vests as follows: 33,245 shares on each of september 14, 2022, december 14, 2022, march 14, 2023 and june 14, 2023.
f3 grant of restricted stock that vests as follows: 159,575 shares on each of june 14, 2023 and june 14, 2024.
f4 consists of restricted stock that vests as follows: 33,245 shares on each of september 14, 2022, december 14, 2022 and march 14, 2023; 192,820 shares on june 14, 2023; and 159,575 shares on june 14, 2024.
f5 owned by trusts for the benefit of the reporting person's children, and managed by reporting person's immediate family member.
f6 as of may 31, 2022.
WhaleWisdom Logo

Elevate your investments