SEC Form 4 · accession 0001209191-17-023922
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tracy M Woody
Officer — Chief Commercial Officer
Period of report
Mar 22, 2017
Accepted (ET)
Mar 31, 2017 · 5:35 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 | Mar 22, 2017 | A | 45,000 | $0.00 | A | 45,000 | 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 | $20.15 | Mar 22, 2017 | A | 100,000 | A | — | Mar 21, 2027 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Represents the grant of Restricted Stock Units that vest as follows: 25% of the shares subject to the Restricted Stock Units vest on each of March 22, 2018, March 22, 2019, March 22, 2020 and March 22, 2021.
- F2One-fourth of the shares subject to the option shall vest and become exercisable on March 22, 2018 and one forty-eighth of the shares subject to the option shall vest and become exercisable on each monthly anniversary thereafter until fully vested.