| | | | | | | | | | | | | | | | | | | | | | |
Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 3/28/18 |
| Not Subject to Section 16: 1 |
| Issuer: |
| Issuer CIK: 1713863 |
| Issuer Name: Rafael Holdings, Inc. |
| Issuer Trading Symbol: RFL |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1228153 |
| | Owner Name: MASON JOYCE J |
| Reporting Owner Address: |
| | Owner Street 1: C/O RAFAEL HOLDINGS, INC. |
| | Owner Street 2: 520 BROAD ST |
| | Owner City: NEWARK |
| | Owner State: NJ |
| | Owner ZIP Code: 07102 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? Yes |
| | Other Text: FORMER DIRECTOR |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Class B Common Stock, par value $.01 per share |
| | Transaction Date: |
| | | Value: 3/28/17 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 3,000 |
| | | Transaction Price Per Share: |
| Value: 0.00 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 17,638 |
| Footnote ID: F1 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Class B Common Stock, par value $.01 per share |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 2,191 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: By 401(k) Plan |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Class B Common Stock, par value $.01 per share |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 4,987 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: By Self for Daughter |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Class B Common Stock, par value $.01 per share |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 2,141 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: By Self for Husband |
| Footnotes: |
| Footnote - F1: Consists of 12,065 shares of Class B Common Stock owned directly, 1,875 restricted shares of Class B Common Stock which vest on July 16, 2018, 3,000 restricted shares of Class B Common Stock that vest as follows: 1,000 on each of March 26, 2019, March 26, 2020 and March 26, 2021 and 698 shares of Class B Common Stock purchased through the IDT's Employee Stock Purchase Program. |
| Remarks: |
| Owner Signature: |
| Signature Name: Joyce J. Mason |
| Signature Date: 3/29/18 |
