SEC Form 4 · accession 0001209191-17-051741
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Gut
Officer — Chief Medical Officer
Period of report
Sep 5, 2017
Accepted (ET)
Sep 6, 2017 · 6:13 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 | Sep 5, 2017 | A | 48,000 | $0.00 | A | 48,000 | 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 | $19.80 | Sep 5, 2017 | A | 107,000 | A | — | Sep 4, 2027 | Common Stock | 107,000 | 107,000 | D |
Explanation of responses
- F1Represents the grant of restricted stock units. Twenty-five percent of the shares subject to the restricted stock units vest on each of September 5, 2018, September 5, 2019, September 5, 2020 and September 5, 2021.
- F2Twenty-five percent of the shares subject to the option become exercisable on September 5, 2018 and 1/48th of the shares subject to the option become exercisable monthly thereafter.