SEC Form 4 · accession 0001209191-17-038231
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shahzad Malik
Director
Period of report
May 25, 2017
Accepted (ET)
Jun 6, 2017 · 8:00 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 | May 25, 2017 | A | 3,480 | $0.00 | A | 12,680 | D | |
| Common StockF2 | holding | — | — | — | 1,621,558 | I | See footnote |
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 | $15.825 | May 25, 2017 | A | 6,850 | A | — | May 24, 2027 | Common Stock | 6,850 | 6,850 | D |
Explanation of responses
- F1Represents the grant of restricted stock units that vest fully on the earlier of (a) the next annual stockholder meeting held after May 25, 2017 and (b) May 25, 2018.
- 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 shall vest fully on the earlier of (a) the next annual stockholder meeting held after May 25, 2017 and (b) May 25, 2018.