SEC Form 4 · accession 0001209191-16-143870
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Srinivas Akkaraju
Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 4, 2016 · 12:41 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 | Oct 3, 2016 | P | 571,429 | $12.25 | A | 571,429 | I | See footnote |
| Common Stock | holding | — | — | — | 11,475 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares are held by SMM SPV I, LLC. The Reporting Person is the sole member and manager of SMM Manager, LLC, the manager of SMM SPV I, LLC, and has sole voting and dispositive power over the shares held by SMM SPV I, LLC; however, he disclaims beneficial ownership of the shares held by such entity except to the extent of his pecuniary interests therein.