Initial Statement of Beneficial Ownership (3)
30 Gennaio 2023 - 5:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Polinsky David |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/28/2023
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3. Issuer Name and Ticker or Trading Symbol
Rafael Holdings, Inc. [RFL]
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(Last)
(First)
(Middle)
C/O RAFAEL HOLDINGS, INC., 520 BROAD ST |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Financial Officer / |
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(Street)
NEWARK, NJ 07102
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Class B Common Stock, par value $.01 per share | 130780 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (right to buy) | (2) | 1/18/2032 | Class B Common Stock | 50000 | $4.57 | D | |
| Employee Stock Option (right to buy) | (3) | 1/22/2033 | Class B Common Stock | 50000 | $2.10 | D | |
| Explanation of Responses: |
| (1) | Consists of 17,864 fully vested restricted shares and 112,916 unvested restricted shares that vest as follows: 5,416 on September 23, 2023; 25,000 on December 21, 2023; 6,250 on each of March 21, 2024, June 21, 2024 and September 21, 2024; 3,750 on September 23, 2024; 6,250 on each of December 21, 2024, March 21, 2025, June 21, 2025 and September 21, 2025; 3,750 on September 23, 2025; and 6,250 on each of December 21, 2025, March 21, 2025, June 21, 2026, September 21, 2026 and December 21, 2026. |
| (2) | The option vests as follows: 12,500 on January 19, 2023 and 3,125 on each of April 19, 2023, July 19, 2023, October 19, 2023, January 19, 2024, April 19, 2024, July 19, 2024, October 19, 2024, January 19, 2025, April 19, 2025, July 19, 2025, October 19, 2025 and January 19, 2026. |
| (3) | The option vests as follows: 12,500 on January 23, 2024 and 3,125 on each of April 23, 2024, July 23, 2024, October 23, 2024, January 23, 2025, April 23, 2025, July 23, 2025, October 23, 2025, January 23, 2026, April 23, 2026, July 23, 2026, October 23, 2026 and January 23, 2027. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Polinsky David
C/O RAFAEL HOLDINGS, INC.
520 BROAD ST
NEWARK, NJ 07102 |
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| Chief Financial Officer |
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Signatures
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| Joyce J Mason, by Power of Attorney | | 1/30/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Grafico Azioni Rafael (NYSE:RFL)
Storico
Da Mag 2024 a Giu 2024
Grafico Azioni Rafael (NYSE:RFL)
Storico
Da Giu 2023 a Giu 2024
