SEC Form 4 · accession 0001209191-16-094549
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shane Ward
Officer — SVP, Legal and Compliance
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 7:15 pm EST
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,F2 | Jan 28, 2016 | A | 13,000 | $0.00 | A | 14,265 | 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)F3 | $10.68 | Jan 28, 2016 | A | 42,000 | A | — | Jan 28, 2026 | Common Stock | 42,000 | 42,000 | D |
Explanation of responses
- F1Represents the grant of Restricted Stock Units that vest as follows: 25% of the shares subject to the Restricted Stock Units vest on each of January 28, 2017, January 28, 2018, January 28, 2019 and January 28, 2020.
- F2Includes 1,265 shares purchased on November 13, 2015 pursuant to the Issuer's employee stock purchase plan.
- F33/48th of the shares subject to the option become exercisable on April 28, 2016 and the balance of the shares vest and become exercisable monthly thereafter.