SEC Form 4 · accession 0001213900-19-000276
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Amato Giaccia
Director · 10% Owner
Period of report
Jan 3, 2019
Accepted (ET)
Jan 7, 2019 · 2:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001513818
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $3.69 | Jan 3, 2019 | A | 7,500 | A | Jan 3, 2019 | Jan 2, 2029 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionF2 | $3.69 | Jan 3, 2019 | A | 4,688 | A | Jan 3, 2019 | Jan 2, 2029 | Common Stock | 4,688 | 4,688 | D |
Explanation of responses
- F1These options vest as follows: (i) 625 shares of common stock vest immediately upon grant and (ii) the balance will vest pro rata on a monthly basis over the next 33 months commencing on February 12, 2019.
- F2These options vest as follows: (i) 1,563 shares of common stock vest immediately upon grant and (ii) 625 will vest on a monthly basis over the next five months commencing on February 3, 2019 with full vesting, if not fully vested at such time, on the date of the Aravive Inc.'s next annual meeting of stockholders.