SEC Form 4 · accession 0001209191-18-051021

Rafael Holdings, Inc. · RFL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Howard S Jonas

Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner

Period of report

Jul 10, 2018

Accepted (ET)

Sep 14, 2018 · 3:11 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001713863

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock, par value $.01 per share	Jul 10, 2018	J	787,163	$0.00	D	0	D
Class A Common Stock, par value $.01 per share	Jul 10, 2018	J	787,163	$0.00	A	787,163	I	By Howard S. Jonas 2017 Annuity Trust
Class B Common Stock, par value $.01 per share^F2	Jul 10, 2018	J	97,491	$0.00	D	44,315	D
Class B Common Stock, par value $.01 per share	Jul 10, 2018	J	97,491	$0.00	A	965,629	I	By Howard S. Jonas 2017 Annuity Trust
Class B Common Stock, par value $.01 per share^F2	Jul 12, 2018	J	32,711	$0.00	D	11,604	D
Class B Common Stock, par value $.01 per share	Jul 12, 2018	J	32,711	$0.00	A	998,340	I	By Howard S. Jonas 2017 Annuity Trust
Class B Common Stock, par value $.01 per share	Aug 23, 2018	J	225,556	$0.00	D	0	I	By Howard S. Jonas 2014 Annuity Trust
Class B Common Stock, par value $.01 per share	Aug 23, 2018	J	225,556	$0.00	A	1,223,896	I	By Howard S. Jonas 2017 Annuity Trust
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	91,058	I	By Trust FBO Michael Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	173,439	I	By Trust FBO Joseph Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	172,901	I	By Trust FBO Tamar Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	173,274	I	By Trust FBO Rachel Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	173,908	I	By Trust FBO Leora Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	171,819	I	By Trust FBO David Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	173,531	I	By Trust FBO Samuel Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	173,056	I	By Trust FBO Jonathan Jonas
Class B Common Stock, par value $.01 per share^F4	holding	—	—		—	179,700	I	By Trust FBO Miriam Jonas
Class B Common Stock, par value $.01 per share	holding	—	—		—	778	I	Custodial for Son (Joseph)
Class B Common Stock, par value $.01 per share	holding	—	—		—	778	I	Custodial for Daughter (Rachel)
Class B Common Stock, par value $.01 per share	holding	—	—		—	778	I	Custodial for Daughter (Tamar)
Class B Common Stock, par value $.01 per share	holding	—	—		—	778	I	Custodial for Daughter (Miriam)
Class B Common Stock, par value $.01 per share	holding	—	—		—	778	I	Custodial for Son (Jonathan)
Class B Common Stock, par value $.01 per share	holding	—	—		—	98,820	I	By The Jonas Foundation

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The Reporting Person transferred these shares from his own direct holdings to the Howard S. Jonas 2017 Annuity Trust.
F2These shares vest on January 5, 2019.
F3The Reporting Person transferred these shares from the Howard S. Jonas 2014 Annuity Trust to the Howard S. Jonas 2017 Annuity Trust.
F4These shares are held in trust for the benefit of the Reporting Person's children. The Reporting Person's spouse is the trustee of the trust. Mr. Jonas disclaims beneficial ownership of these shares and does not exercise or share voting or dispositive power or investment control of these shares.