SEC Form 4/A · accession 0001601364-15-000002
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.
Period of report
Jan 22, 2015
Accepted (ET)
Jan 26, 2015 · 5:31 pm EST
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 | Jan 22, 2015 | P | 55,000 | $17.25 | A | 2,271,558 | I | See FN |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F3,F2 | $21.00 | holding | — | — | — | — | Mar 19, 2024 | Common Stock | 35,000 | 35,000 | I |
Explanation of responses
- F1Securities 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. Advent disclaims beneficial ownership of the shares held by Advent Fund except to the extent of its indirect pecuniary interest therein. Shahzad Malik, an affiliate of the Reporting Persons, is a member of the Issuer's board of directors, and disclaims beneficial ownership of the shares held by Advent or the Advent Fund except to the extent of his indirect pecuniary interest therein.
- F2One-fourth of the total number of shares subject to the option shall vest and become exercisable one year from 3/21/2014 (the "Vesting Commencement Date") and 1/36th of the remaining number of shares subject to the option shall vest and become exercisable on each monthly anniversary of the Vesting Commencement Date thereafter.
- F3Securities are held by Shahzad Malik, an affiliate of the Reporting Persons. The Reporting Persons disclaim beneficial ownership of the securities held by Shahzad Malik.
Remarks
The Reporting Persons are no longer greater than 10% holders. Shahzad Malik, an affiliate of the Reporting Persons, is a member of the Issuer's board of directors. This Form 4/A is being filed to correct the expiration date of the derivative securities set forth above.