SEC Form 4 · accession 0001209191-17-038234
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Srinivas Akkaraju
Director
Period of report
May 25, 2017
Accepted (ET)
Jun 6, 2017 · 8:05 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 | 14,955 | D | |
| Common StockF2 | holding | — | — | — | 571,429 | I | By Partnership |
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.
- F2Shares held by Samsara BioCapital. The reporting person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The Reporting Person disclaims beneficial ownership of these shares except to the extent of the Reporting Person's 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.