BARASCH RICHARD A 4
4 · Oncology Institute, Inc. · Filed Jun 24, 2025
Insider Transaction Report
Form 4
BARASCH RICHARD A
Director
Transactions
- Tax Payment
Common Stock
2025-06-17$2.62/sh−311,128$813,724→ 2,923,637 total(indirect: By LLC) - Exercise of In-Money
Common Warrant
2025-06-17−679,224→ 0 total(indirect: By LLC)Exercise: $1.20From: 2025-03-26Exp: 2030-03-26→ Common Stock (679,224 underlying) - Exercise of In-Money
Common Stock
2025-06-17$1.20/sh+679,224$813,710→ 3,234,765 total(indirect: By LLC)
Footnotes (4)
- [F1]Represents the net exercise of a Common Stock Purchase Warrant ("Common Warrant") to purchase shares of common stock. The Common Warrant refers to such net exercise transaction as a "Cashless Exercise." In connection with the Cashless Exercise, the Issuer and RAB Ventures (DFP) LLC entered into a Waiver Agreement, pursuant to which the Issuer agreed to waive the Common Warrant provision restricting Cashless Exercises to circumstances where the resale of the underlying shares of common stock is not covered by an effective registration statement under the Securities Act of 1933, as amended.
- [F2]The exercise of the Common Warrant by RAB Ventures (DFP) LLC is exempt pursuant to Rule 16b-6.
- [F3]RAB Ventures (DFP) LLC received 368,096 shares of common stock on a net exercise of the Common Warrant to purchase 679,224 shares of common stock. The Issuer withheld 311,128 shares of common stock underlying the Common Warrant for payment of the exercise price, using the fair market value of the common stock on the date of exercise, June 17, 2025, of $2.6154. The fair market value of the common stock was determined based on the average of the volume weighted average price on each of the five (5) consecutive trading days ending immediately prior to the date of exercise, pursuant to the terms of the Common Warrant.
- [F4]Securities are owned by RAB Ventures (DFP) LLC, an entity controlled by the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.