SEC Form 4 · accession 0001209191-15-042367
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay Shepard
Officer — President and CEO · Director
Period of report
May 11, 2015
Accepted (ET)
May 13, 2015 · 5:07 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 | May 11, 2015 | A | 96,000 | $0.00 | A | 96,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $15.19 | May 11, 2015 | A | 309,000 | A | — | May 10, 2025 | Common Stock | 309,000 | 309,000 | D |
Explanation of responses
- F1Represents the grant of restricted stock units. The shares subject to the award vest in equal installments on each of May 6, 2016, May 6, 2017, May 6, 2018 and May 6, 2019.
- F2One-fourth of the shares subject to the option shall vest and become exercisable on May 6, 2016 and one forty-eighth of the shares subject to the option shall vest and become exercisable monthly thereafter until the Option is fully vested.