Farquharson Andrew

SEC source: 0001415889-25-015032 · form4-05302025_090534.xml · derivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class A Common Stock · 50,000 shares

Expires 2035-05-27

F1 · derivative.exercise_date: The shares subject to the option vest in full on the first anniversary of the date of grant, subject to the recipient's Continuous Service (as defined in the Company's 2021 Equity Incentive Plan) through such vesting date; provided that, if earlier, the shares subject to the option will vest in full upon the occurrence of either of the following events: the Company's next annual stockholder meeting or a Change in Control (as defined in the Company's 2021 Equity Incentive Plan).

SEC source: 0000950170-24-137315 · ownership.xml · derivative · entry 2

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,276

Underlying: Class A Common Stock · 101,276 shares

Expires 2033-05-24

F1 · price: On December 16, 2024, the exercise price of the stock options has been amended to increase the exercise price to $4.11 per share. There is no change to the expiration dates or the vesting schedule of the options.

SEC source: 0000950170-24-137315 · ownership.xml · derivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 101,276 shares

Expires 2033-05-24

F1 · price: On December 16, 2024, the exercise price of the stock options has been amended to increase the exercise price to $4.11 per share. There is no change to the expiration dates or the vesting schedule of the options.

SEC source: 0000950170-24-066582 · ownership.xml · derivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class A Common Stock · 50,000 shares

Expires 2034-05-28

F1 · derivative.exercise_date: The shares subject to the option vest in full on the first anniversary of the date of grant, subject to the recipient's Continuous Service (as defined in the Company's 2021 Equity Incentive Plan) through such vesting date; provided that, if earlier, the shares subject to the option will vest in full upon the occurrence of either of the following events: the Company's next annual stockholder meeting or a Change in Control (as defined in the Company's 2021 Equity Incentive Plan).

SEC source: 0000950170-23-071467 · ownership.xml · derivative · entry 2

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,276

Underlying: Class A Common Stock · 101,276 shares

Expires 2033-05-24

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on December 16, 2023 (the "Repricing Date"). Pursuant to the Option Repricing, the exercise price of the repriced options has been amended to reduce the exercise price to $2.84 per share, the closing price of the Issuer's Common Stock on the Repricing Date. There is no change to the expiration dates or the vesting schedule of the repriced options.

F1 · derivative.exercise_date: The shares subject to the option vest in full on May 25, 2024, subject to the recipient's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through such vesting date; provided that, if earlier, the shares subject to the option will vest in full upon the occurrence of either of the following events: the Issuer's next annual stockholder meeting or a Change in Control (as defined in the 2021 Equity Incentive Plan).

SEC source: 0000950170-23-071467 · ownership.xml · derivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 101,276 shares

Expires 2033-05-24

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on December 16, 2023 (the "Repricing Date"). Pursuant to the Option Repricing, the exercise price of the repriced options has been amended to reduce the exercise price to $2.84 per share, the closing price of the Issuer's Common Stock on the Repricing Date. There is no change to the expiration dates or the vesting schedule of the repriced options.

F1 · derivative.exercise_date: The shares subject to the option vest in full on May 25, 2024, subject to the recipient's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through such vesting date; provided that, if earlier, the shares subject to the option will vest in full upon the occurrence of either of the following events: the Issuer's next annual stockholder meeting or a Change in Control (as defined in the 2021 Equity Incentive Plan).

SEC source: 0001209191-23-033042 · doc4.xml · derivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,276

Underlying: Class A Common Stock · 101,276 shares

Expires 2033-05-24

F1 · derivative.exercise_date: The shares subject to the option vest in full on the first anniversary of the date of grant, subject to the recipient's Continuous Service (as defined in the Company's 2021 Equity Incentive Plan) through such vesting date; provided, that, if earlier, the shares subject to the option will vest in full upon the occurrence of either of the following events: the Company's next annual stockholder meeting or a Change in Control (as defined in the 2021 Equity Incentive Plan).

SEC source: 0001209191-22-047662 · doc4.xml · derivative · entry 4

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 248,929

Underlying: Class A Common Stock · 7,694 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F5 · shares: The Reporting Person is a General Partner of Rani Investment Corp. Represents 7,694 LLC Units previously held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F1 · derivative.exercise_date: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F1 · derivative.expiration_date: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F6 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. Represents 248,929 LLC Units held by InCube Ventures II, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-047662 · doc4.xml · nonDerivative · entry 2

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 72,818

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F4 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P., VH Moll L.P., and Rani Investment Corp. Represents 52,781 Class A Shares held by InCube Ventures II, L.P, 12,343 Class A Shares held by VH Moll L.P., and 7,694 Class A Shares held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-047662 · doc4.xml · nonDerivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 248,929

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F2 · shares: The Reporting Person is a General Partner of Rani Investment Corp. Represents 7,694 Class B Shares previously held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. Represents 248,929 Class B Shares held by InCube Ventures II, L.P. The Reporting Person disclaims beneficial ownership of these except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-046957 · doc4.xml · nonDerivative · entry 2

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 65,124

F1 · shares: The Reporting Person is a General Partner of Rani Investment Corp. Represents Class A Shares held by Rani Investment Corp.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.39 to $11.975, inclusive.

F5 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. and VH Moll, L.P. Represents 52,781 shares of Class A Common Stock of the Issuer held by InCube Ventures II, L.P. and 12,343 shares of Class A Common Stock of the Issuer held by VH Moll, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-046957 · doc4.xml · nonDerivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 74,334

F1 · shares: The Reporting Person is a General Partner of Rani Investment Corp. Represents Class A Shares held by Rani Investment Corp.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.39 to $11.37, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (2) and (4) to this Form 4.

F3 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P., VH Moll, L.P., and Rani Investment Corp. Represents 52,781 shares of Class A Common Stock of the Issuer held by InCube Ventures II, L.P., 12,343 shares of Class A Common Stock of the Issuer held by VH Moll, L.P., and 9,210 shares of Class A Common Stock of the Issuer held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0000899243-22-019859 · doc4.xml · derivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,416

Underlying: Class A Common Stock · 41,416 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The shares subject to the option vest in full on the first anniversary of the date of grant, subject to the recipient's Continuous Service (as defined in the Company's 2021 Equity Incentive Plan) through such vesting date; provided, that, if earlier, the shares subject to the option will vest in full upon the occurrence of either of the following events: the Company's next annual stockholder meeting or a Change in Control (as defined in the 2021 Equity Incentive Plan).

SEC source: 0001179110-22-002127 · edgar.xml · derivative · entry 4

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 256,623

Underlying: Class A Common Stock · 2,309,490 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), InCube Ventures II, L.P. and Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F6 · shares: The Reporting Person is a General Partner of InCube Ventures II, L.P. and Rani Investment Corp. Represents 2,229,238 LLC Units previously held by InCube Ventures II, L.P. and 80,252 LLC Units previously held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F1 · derivative.exercise_date: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), InCube Ventures II, L.P. and Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F1 · derivative.expiration_date: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), InCube Ventures II, L.P. and Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F6 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. and Rani Investment Corp. Represents 2,229,238 LLC Units previously held by InCube Ventures II, L.P. and 80,252 LLC Units previously held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001179110-22-002127 · edgar.xml · nonDerivative · entry 3

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 146,379

F2 · kind: InCube Ventures II, L.P. distributed these shares to its limited partners on a pro rata basis, for no consideration

F5 · shares: The Reporting Person is a General Partner of InCube Ventures II, L.P. Represents 2,229,238 Class A Shares previously held by InCube Ventures II, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F5 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. Represents 2,229,238 Class A Shares previously held by InCube Ventures II, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001179110-22-002127 · edgar.xml · nonDerivative · entry 2

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 2,375,617

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), InCube Ventures II, L.P. and Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F4 · shares: The Reporting Person is a General Partner of InCube Ventures II, L.P. and Rani Investment Corp. Represents 2,229,238 Class A Shares held by InCube Ventures II, L.P. and 80,252 Class A Shares held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. and Rani Investment Corp. Represents 2,229,238 Class A Shares held by InCube Ventures II, L.P. and 80,252 Class A Shares held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001179110-22-002127 · edgar.xml · nonDerivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 256,623

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of the Fifth Amended and Restated LLC Agreement between Rani Therapeutics, LLC, a direct subsidiary of the Issuer, and the holders of its Common LLC Units ("LLC Units"), InCube Ventures II, L.P. and Rani Investment Corp. elected to exchange on a one-for-one basis the LLC Units and redeem the corresponding number of shares of Class B Common Stock of the Issuer ("Class B Shares") for newly-issued shares of Class A Common Stock of the Issuer ("Class A Shares").

F3 · shares: The Reporting Person is a General Partner of InCube Ventures II, L.P. and Rani Investment Corp. Represents 2,229,238 Class B Shares previously held by InCube Ventures II, L.P. and 80,252 Class B Shares previously held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a General Partner of InCube Ventures II, L.P. and Rani Investment Corp. Represents 2,229,238 Class B Shares previously held by InCube Ventures II, L.P. and 80,252 Class B Shares previously held by Rani Investment Corp. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-007637 · doc4.xml · nonDerivative · entry 2

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 66,127

F3 · shares: InCube Ventures II, L.P., is the limited partner of Biologix Partners, LP and VH Rani, LP. InCube Ventures II, L.P. therefore received 12,289 Class A Shares distributed by Biologix Partners, LP and 41,495 Class A Shares distributed by VH Rani, LP. and now owns those shares directly. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4 · shares: VH Moll, L.P., is a limited partner of VH Rani, LP. VH Moll, L.P. therefore received 12,343 Class A Shares distributed by VH Rani, LP. and now owns those shares directly. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F3 · ownership.nature: InCube Ventures II, L.P., is the limited partner of Biologix Partners, LP and VH Rani, LP. InCube Ventures II, L.P. therefore received 12,289 Class A Shares distributed by Biologix Partners, LP and 41,495 Class A Shares distributed by VH Rani, LP. and now owns those shares directly. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4 · ownership.nature: VH Moll, L.P., is a limited partner of VH Rani, LP. VH Moll, L.P. therefore received 12,343 Class A Shares distributed by VH Rani, LP. and now owns those shares directly. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-007637 · doc4.xml · nonDerivative · entry 1

Farquharson Andrew · CIK 0001865699 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: Biologix Partners, LP and VH Rani, LP. distributed these shares to its limited partners on a pro rata basis, for no consideration.

F2 · shares: Represents previously held 378,564 shares of Class A Common Stock of the Issuer ("Class A Shares") held by Biologix Partners, LP and 448,903 Class A Shares held by VH Rani, LP.

F2 · ownership.nature: Represents previously held 378,564 shares of Class A Common Stock of the Issuer ("Class A Shares") held by Biologix Partners, LP and 448,903 Class A Shares held by VH Rani, LP.