SEC Form 4 · accession 0001209191-17-007335
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay Shepard
Officer — President and CEO · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 8:12 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 Stock | Jan 31, 2017 | M | 10,662 | $2.53 | A | 234,046 | D | |
| Common StockF1,F2 | Jan 31, 2017 | S | 4,722 | $13.40 | D | 229,324 | D | |
| Common StockF1,F3 | Jan 31, 2017 | S | 5,940 | $14.16 | D | 223,384 | D | |
| Common Stock | Feb 1, 2017 | M | 6,576 | $2.53 | A | 229,960 | D | |
| Common StockF1,F4 | Feb 1, 2017 | S | 6,576 | $13.95 | D | 223,384 | D | |
| Common Stock | Feb 2, 2017 | M | 4,166 | $2.53 | A | 227,550 | D | |
| Common StockF1,F5 | Feb 2, 2017 | S | 6,973 | $13.51 | D | 220,577 | 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)F6 | $2.53 | Jan 31, 2017 | M | 10,662 | D | — | Dec 27, 2023 | Common Stock | 10,662 | 97,736 | D |
| Stock Option (Right to Buy)F6 | $2.53 | Feb 1, 2017 | M | 6,576 | D | — | Dec 27, 2023 | Common Stock | 6,576 | 91,160 | D |
| Stock Option (Right to Buy)F6 | $2.53 | Feb 1, 2017 | M | 4,166 | D | — | Dec 27, 2023 | Common Stock | 4,166 | 86,994 | D |
Explanation of responses
- F1Shares sold pursuant to 10b5-1 plan.
- F2The shares were sold at prices ranging from $12.70 to $13.65. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3The shares were sold at prices ranging from $13.70 to $14.40. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4The shares were sold at prices ranging from $13.70 to $14.15. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F5The shares were sold at prices ranging from $13.30 to $13.80. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F6Fully vested.