SEC Form 4 · accession 0001209191-17-014077
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
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 8:23 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 | Feb 21, 2017 | M | 8,000 | $2.53 | A | 221,858 | D | |
| Common StockF1 | Feb 21, 2017 | S | 8,000 | $18.50 | D | 213,858 | D | |
| Common Stock | Feb 23, 2017 | M | 8,000 | $2.53 | A | 221,858 | D | |
| Common StockF1 | Feb 23, 2017 | S | 8,000 | $20.00 | D | 213,858 | 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 | $2.53 | Feb 21, 2017 | M | 8,000 | D | — | Dec 27, 2023 | Common Stock | 8,000 | 78,994 | D |
| Stock Option (Right to Buy)F2 | $2.53 | Feb 23, 2017 | M | 8,000 | D | — | Dec 27, 2023 | Common Stock | 8,000 | 70,994 | D |
Explanation of responses
- F1Shares sold pursuant to 10b5-1 plan.
- F225% of the shares subject to the option become exercisable one year from 12/10/2013; the remainder become exercisable in equal monthly installments over the following three years.