Sec Form 4 Filing - Quiroga Moreno Isidoro @ Rani Therapeutics Holdings, Inc. - 2021-07-30

Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security.

Form 4: Statement of changes in beneficial ownership, filed before the end of the 2nd business day following the day on which a transaction resulting in a change in beneficial ownership.

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
Quiroga Moreno Isidoro
2. Issuer Name and Ticker or Trading Symbol
Rani Therapeutics Holdings, Inc. [ RANI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
AVENIDA PRESIDENTE RIESCO, 5711 OFICINA 1603, LAS CONDES
3. Date of Earliest Transaction (MM/DD/YY)
07/30/2021
(Street)
SANTIAGO, F37550000
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 07/30/2021 P( 1 ) 158,904 A $ 11.2525 5,431,654 I Shares indirectly held through Aequanimitas Limited Partnership ( 4 )
Class A Common Stock 08/03/2021 P( 2 ) 2,727,273 A $ 11 8,158,927 I Shares indirectly held through Aequanimitas Limited Partnership ( 4 )
Class A Common Stock 08/03/2021 P( 3 ) 3,572,727 A $ 11 11,731,654 I Shares indirectly held through South Lake One LLC ( 5 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Quiroga Moreno Isidoro
AVENIDA PRESIDENTE RIESCO
5711 OFICINA 1603, LAS CONDES
SANTIAGO, F37550000
X
South Cone Investments Limited Partnership
AVENIDA PRESIDENTE RIESCO
5711 OFICINA 1603, LAS CONDES
SANTIAGO, F37550000
X
Signatures
/s/ Isidoro Quiroga Moreno 08/03/2021
** Signature of Reporting Person Date
/s/ Isidoro Quiroga Cortes; and /s/ Luis Felipe Correa Gonzalez, Managers of Inversiones El Aromo Limitada, as General Partner and on behalf of South Cone Investments Limited Partnership 08/03/2021
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Aequanimitas Limited Partnership ("Aequanimitas") acquired 158,904 shares of the Issuer's Class A Common Stock in a single transaction in the open market at a price of $11.2525 per share of Class A Common Stock for an aggregate purchase price of $1,788,067.26.
( 2 )In connection with the Issuer's initial public offering, Aequanimitas acquired, at a price of $11.00 per share of Class A Common Stock, 2,727,273 shares of the Issuer's Class A Common Stock for an aggregate purchase price of $30,000,003.
( 3 )In connection with the Issuer's initial public offering, South Lake One LLC ("South Lake") acquired, at a price of $11.00 per share of Class A Common Stock, 3,572,727 shares of the Issuer's Class A Common Stock for an aggregate purchase price of $39,299,997.
( 4 )Isidoro Quiroga Moreno indirectly controls Aequanimitas, which has sole voting power and sole dispositive power with respect to all of the shares of the Issuer's Class A Common Stock held by it. Aequanimitas is controlled by its general partner, South Lake Three LLC, which is wholly owned by South Cone Investments Limited Partnership ("South Cone"), which is controlled by its general partner Inversiones El Aromo Limitada ("El Aromo"), which is controlled by Isidoro Quiroga Moreno (who directly owns approximately 71% of the issued and outstanding capital stock of El Aromo).
( 5 )Isidoro Quiroga Moreno indirectly controls South Lake, which has sole voting power and sole dispositive power with respect to all of the shares of the Issuer's Class A Common Stock held by it. South Lake is wholly owned by South Cone, which is controlled by its general partner El Aromo, which is controlled by Isidoro Quiroga Moreno (who directly owns approximately 71% of the issued and outstanding capital stock of El Aromo).

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 4(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).

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