SEC Form 4/A · accession 0001209191-15-034737
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jeffrey L Cleland
Officer — President and CEO · Director
Period of report
Dec 19, 2014
Accepted (ET)
Apr 16, 2015 · 9:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001513818
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 14, 2014 | G | 1,900 | $0.00 | D | 141,388 | D | |
| Common StockF2,F1 | Dec 19, 2014 | S | 20 | $20.00 | D | 141,368 | D | |
| Common StockF2,F3,F1 | Dec 22, 2014 | S | 2,110 | $20.5364 | D | 139,258 | D | |
| Common StockF2,F4,F1 | Dec 22, 2014 | S | 5,870 | $21.3561 | D | 133,388 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 892 shares purchased on 11/14/14 pursuant to the issuer's employee stock purchase plan.
- F2Shares sold pursuant to a 10b5-1 trading plan.
- F3The shares were sold at prices ranging from $20.04 to $21.03. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4The shares were sold at prices ranging from $21.06 to $21.87. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
Remarks
This amendment is being filed to correct the number of shares reported in Table I, Column 5.