SEC Form 4 · accession 0001209191-16-122259
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Y Sun
Director
Period of report
May 18, 2016
Accepted (ET)
May 20, 2016 · 5:28 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 18, 2016 | A | 4,625 | $0.00 | A | 9,200 | 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 | $8.12 | May 18, 2016 | A | 14,625 | A | — | May 18, 2026 | Common Stock | 14,625 | 14,625 | D |
Explanation of responses
- F1Represents the grant of restricted stock units that vest 100% on the earlier of May 18, 2017 or the next annual meeting of the stockholders of the issuer held after May 18, 2016.
- F2The shares subject to the option shall become vested according to the following schedule: 100% shall vest on the earlier of May 18, 2017 or the next annual meeting of the stockholders of the issuer held after May 18, 2016.