SEC Form 4 · accession 0001209191-17-025821
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Colin Hislop
Officer — Chief Medical Officer
Period of report
Apr 4, 2017
Accepted (ET)
Apr 5, 2017 · 7:02 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 Stock | Apr 4, 2017 | M | 35,000 | $8.17 | A | 59,500 | D | |
| Common StockF1,F2 | Apr 4, 2017 | S | 35,000 | $21.20 | D | 24,500 | 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)F3 | $8.17 | Apr 4, 2017 | M | 35,000 | D | — | Apr 3, 2026 | Common Stock | 35,000 | 188,100 | D |
Explanation of responses
- F1Shares sold pursuant to a 10b5-1 plan.
- F2The shares were sold at prices ranging from $20.90 to $21.65. 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.
- F31/4th of the total number of shares subject to the option shall vest on the first yearly anniversary of the vesting commencement date and 1/36th of the remaining number of shares subject to the option shall vest on each monthly anniversary of the vesting commencement date thereafter.