SEC Form 4 · accession 0001209191-15-058262
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shahzad Malik
Director · 10% Owner
Period of report
Jun 29, 2015
Accepted (ET)
Jul 1, 2015 · 7:16 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 | Jun 29, 2015 | A | 4,575 | $0.00 | A | 4,575 | D | |
| Common StockF2 | holding | — | — | — | 2,281,766 | I | See footnote |
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)F3 | $14.73 | Jun 29, 2015 | A | 13,100 | A | — | Jun 29, 2025 | Common Stock | 13,100 | 13,100 | D |
Explanation of responses
- F1Represents the grant of restricted stock units that vest 100% on the earlier of June 29, 2016 or the next annual meeting of the stockholders of the issuer held after May 21, 2015.
- F2Securities are held by Advent Life Sciences LLP ("Advent") and Advent Life Sciences Fund I LP ("Advent Fund"). Advent is the general partner of Advent Fund. The Reporting Person is a partner of Advent, and disclaims beneficial ownership of the shares held by Advent or the Advent Fund except to the extent of his indirect pecuniary interest therein.
- F3The shares subject to the option shall become vested according to the following schedule: 100% shall vest on the earlier of June 29, 2016 or the next annual meeting of the stockholders of the issuer held after May 21, 2015.