SEC Form 4 · accession 0001209191-16-094559
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua T Brumm
Officer — Chief Financial Officer
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 7:19 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 | Jan 28, 2016 | A | 26,000 | $0.00 | A | 61,548 | 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 | $10.68 | Jan 28, 2016 | A | 83,800 | A | — | Jan 28, 2026 | Common Stock | 83,800 | 83,800 | 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.
- F21/48th of the shares subject to the option become exercisable monthly measured from the date of grant.