SEC Form 4 · accession 0001209191-17-020872
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shahzad Malik
Director
Period of report
Mar 13, 2017
Accepted (ET)
Mar 15, 2017 · 5:44 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 | Mar 13, 2017 | S | 16,330 | $19.42 | D | 2,255,228 | I | See footnote |
| Common StockF2 | Mar 14, 2017 | S | 100 | $19.03 | D | 2,255,128 | I | See footnote |
| Common StockF2 | Mar 14, 2017 | S | 46,778 | $19.00 | D | 2,208,350 | I | See footnote |
| Common StockF3,F2 | Mar 15, 2017 | S | 103,122 | $19.08 | D | 2,105,228 | I | See footnote |
| Common Stock | holding | — | — | — | 9,200 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold at prices ranging from $19.35 to $19.45. 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.
- F2Securities are held by Advent Life Sciences LLP ("Advent") and Advent Life Sciences Fund I LP ("Advent Fund"). Advent is the general partner of Advent Fund. The Reporting Person is a partner of Advent, and disclaims beneficial ownership of the shares held by Advent or the Advent Fund except to the extent of his indirect pecuniary interest therein.
- F3The shares were sold at prices ranging from $19.00 to $19.28. 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.