SEC Form 4 · accession 0001209191-16-128881
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Srinivas Akkaraju
Director
Period of report
Jun 14, 2016
Accepted (ET)
Jun 20, 2016 · 9:54 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,F2 | Jun 14, 2016 | A | 6,900 | $0.00 | A | 11,475 | 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 | $10.87 | Jun 14, 2016 | A | 28,720 | A | — | Jun 14, 2026 | Common Stock | 28,720 | 28,720 | D |
Explanation of responses
- F1Represents the grant of restricted stock units that vest 1/3 annually over the three years following the date of grant.
- F2The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F3One-third of the shares subject to the option shall vest annually over the 3 years following the date of grant.