Changes in Beneficial Ownership · 4
Rafael Holdings, Inc.
RFLNYSEEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
ownership.xml
Filing details
- Report period
- 2026-07-29
- Issuer
- Rafael Holdings, Inc.
- Issuer CIK
- 0001713863
- Trading symbol
- RFL
Reporting owner 1
- Name
- JONAS HOWARD S
- Reporting owner CIK
- 0001034247
- Relationship
- Director · Officer · 10% owner
- Officer title
- Exec Chairman, CEO & President
- Address
- C/O RAFAEL HOLDINGS, INC., 520 BROAD ST, NEWARK, NJ, 07102
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership |
|---|---|---|---|---|---|---|---|
| Class B Common Stock, $.01 par value per share | 2026-07-29 | A · Form 4 | 54,945[F1] | A | 2.73 | 512,030[F2] | D |
Table key
- A · Form 4
- Acquisition by grant, award or otherwise under Rule 16b-3(d)
- A
- Acquired
- D
- Direct
Non-derivative holdings
| Security | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|
| Class B Common Stock, $.01 par value per share | 98,820 | I | By The Jonas Foundation |
| Class B Common Stock, $.01 par value per share | 563,538 | I | By Debbie Y. Jonas 2018 Dynasty Trust |
| Class B Common Stock, $.01 par value per share | 12,299,207 | I | By HSJ 2019 Remainder Trust |
| Class B Common Stock, $.01 par value per share | 457,031 | I | By Genie A Partners, L.P. |
| Class B Common Stock, $.01 par value per share | 324,219 | I | IDT A Partners, L.P. |
| Class A Common Stock, $.01 par value per share | 787,163 | I | By Rafael A Partners, L.P.[F3] |
Table key
- I
- Indirect
Footnotes
- F1
- Grant of Restricted Stock that vests as follows: 13,737 on September 13, 2026 and 13,736 on each of December 13, 2026, March 13, 2027 and June 13, 2027.↩ 1
- F2
- Consists of 239,228 vested restricted shares of Class B Common Stock and 272,802 unvested restricted shares of Class B Common Stock that shall vest as follows: 49,452 shall vest on September 13, 2026; 49,450 shall vest on each of December 13, 2026, March 13, 2027 and June 13, 2027; and 18,750 shall vest on each of January 13, 2027, January 13, 2028, January 13, 2029 and January 13, 2030.↩ 1
- F3
- The Reporting Person is the sole manager of the sole general partner of the limited partnership and, therefore, has sole voting and dispositive power over the shares of Class A common stock held by the limited partnership.↩ 1
Signature 1
- Signed
- Joyce J. Mason, by Power of Attorney
- Date
- 2026-07-31
Company context
Rafael Holdings, Inc. is a biotechnology company that develops pharmaceuticals and holds interests in clinical and early-stage companies that develop pharmaceuticals and medical devices. Our lead candidate is Trappsol® Cyclo™, and we have completed a pivotal Phase 3 study in NPC and are preparing for a planned NDA submission later this year. Niemann-Pick Disease Type C (“NPC”) is a rare, fatal and progressive genetic disorder. We also hold interests in other clinical-stage and early-stage pharmaceutical development companies and an orthopedic-focused medical device company.