SEC Form 4/A · accession 0001213900-19-000329
Aravive, Inc. · ARAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Amato Giaccia
Director · 10% Owner
Period of report
Jan 3, 2019
Accepted (ET)
Jan 7, 2019 · 9:26 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 OptionF2,F1 | $3.61 | Jan 3, 2019 | A | 7,500 | A | Jan 3, 2019 | Jan 2, 2029 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionF3,F1 | $3.61 | Jan 3, 2019 | A | 4,688 | A | Jan 3, 2019 | Jan 2, 2029 | Common Stock | 4,688 | 4,688 | D |
Explanation of responses
- F1The reporting person is amending the Form 4 originally filed to report the correct exercise price, which is $3.61. The exercise price was incorrectly reported in the initial Form 4 due to a typographical error.
- F2These 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.
- F3These 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.