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Filing Details

Accession Number:: 0001437749-21-027744
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-12-02 19:28:09
Reporting Period:: 2021-11-30

Accepted Time:: 2021-12-02 19:28:09
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1513818	Aravive Inc.	ARAV	Pharmaceutical Preparations (2834)	264106690

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1753058	Amato Giaccia	C/O Aravive, Inc., River Oaks Tower, 3730 Kirby Drive, Suite 1200 Houston TX 77098		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-11-30	12,350	$0.06	954,230	No	4	M	Direct
Common Stock	Acquisiton	2021-11-30	38,761	$0.24	992,991	No	4	M	Direct
Common Stock	Acquisiton	2021-11-30	500	$0.24	993,491	No	4	M	Direct
Common Stock	Disposition	2021-11-30	252	$3.22	993,239	No	4	S	Direct
Common Stock	Disposition	2021-11-30	2,954	$3.22	990,285	No	4	S	Direct
Common Stock	Disposition	2021-11-30	39	$3.22	990,246	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option	Disposition	2021-11-30	12,350	$0.00	12,350	$0.06
Common Stock	Stock Option	Disposition	2021-11-30	38,761	$0.00	38,761	$0.24
Common Stock	Stock Option	Disposition	2021-11-30	500	$0.00	500	$0.24

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2018-10-12	2022-11-14	No	4	M	Direct
0	2018-10-12	2024-09-30	No	4	M	Direct
8,620	2018-10-12	2024-12-31	No	4	M	Direct

Footnotes

On November 14, 2012, Reporting Person was granted an option to purchase 32,500 shares of the common stock of Aravive at an exercise price of $0.02 per share. Pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of June 3, 2018 (the "Merger Agreement"), this option was converted into an option to purchase 12,350 shares of Issuer common stock (as adjusted for the stock split) at a per share exercise price of $0.06 per share (as adjusted for the stock split). The option is fully vested with respect to all of the underlying shares and exercisable as of the effective date of the merger.
On October 1, 2014, Reporting Person was granted an option to purchase 102,000 shares of the common stock of Aravive at an exercise price of $0.09 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 38,761 shares of Issuer common stock (as adjusted for the stock split) at a per share exercise price of $0.24 per share (as adjusted for the stock split). The option is fully vested with respect to all of the underlying shares and exercisable as of the effective date of the merger.
On December 31, 2014, Reporting Person was granted an option to purchase 24,000 shares of the common stock of Aravive at an exercise price of $0.09 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 9,120 shares of Issuer common stock (as adjusted for the stock split) at a per share exercise price of $0.24 per share (as adjusted for the stock split). The option is fully vested with respect to all of the underlying shares and exercisable as of the effective date of the merger.
This transaction represents the sale of stock to cover the exercise price of the options.