0001104659-22-099268.txt : 20220912
0001104659-22-099268.hdr.sgml : 20220912
20220912163434
ACCESSION NUMBER: 0001104659-22-099268
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220908
FILED AS OF DATE: 20220912
DATE AS OF CHANGE: 20220912
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SAXENA PARAG
CENTRAL INDEX KEY: 0001015823
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38634
FILM NUMBER: 221238944
MAIL ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VEDANTA PARTNERS, LLC
CENTRAL INDEX KEY: 0001502216
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38634
FILM NUMBER: 221238948
BUSINESS ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-710-5220
MAIL ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vedanta Associates-R, LP
CENTRAL INDEX KEY: 0001865703
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38634
FILM NUMBER: 221238947
BUSINESS ADDRESS:
STREET 1: 250 WEST 55TH STREET, STE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-710-5220
MAIL ADDRESS:
STREET 1: 250 WEST 55TH STREET, STE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BETA OPERATORS FUND, L.P.
CENTRAL INDEX KEY: 0001614642
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38634
FILM NUMBER: 221238945
BUSINESS ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: (212) 710-5220
MAIL ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VEDANTA ASSOCIATES, L.P.
CENTRAL INDEX KEY: 0001502222
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38634
FILM NUMBER: 221238946
BUSINESS ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-710-5220
MAIL ADDRESS:
STREET 1: 250 WEST 55TH STREET, SUITE 13D
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: REVIVA PHARMACEUTICALS HOLDINGS, INC.
CENTRAL INDEX KEY: 0001742927
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 19925 STEVENS CREEK BLVD.
STREET 2: SUITE 100
CITY: CUPERTINO
STATE: CA
ZIP: 95014
BUSINESS PHONE: 4085018881
MAIL ADDRESS:
STREET 1: 19925 STEVENS CREEK BLVD.
STREET 2: SUITE 100
CITY: CUPERTINO
STATE: CA
ZIP: 95014
FORMER COMPANY:
FORMER CONFORMED NAME: Tenzing Acquisition Corp.
DATE OF NAME CHANGE: 20180606
4
1
tm2225524-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-09-08
0
0001742927
REVIVA PHARMACEUTICALS HOLDINGS, INC.
RVPH
0001502216
VEDANTA PARTNERS, LLC
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D
NEW YORK
NY
10019
0
0
1
0
0001865703
Vedanta Associates-R, LP
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D
NEW YORK
NY
10019
0
0
1
0
0001502222
VEDANTA ASSOCIATES, L.P.
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D
NEW YORK
NY
10019
0
0
1
0
0001614642
BETA OPERATORS FUND, L.P.
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D
NEW YORK
NY
10019
0
0
1
0
0001015823
SAXENA PARAG
250 WEST 55TH STREET, SUITE 13D
NEW YORK
NY
10019
0
0
1
0
Pre-Funded Warrant
0.0001
2022-09-08
4
P
0
869565
2.5299
A
Common Stock
869565
869565
I
See Footnote
Pre-Funded Warrant
0.0001
2022-09-08
4
P
0
513834
2.5299
A
Common Stock
513834
513834
I
See Footnote
Common Stock Warrant (right to buy)
2.40
2022-09-08
4
P
0
869565
0.0001
A
2027-09-08
Common Stock
869565
869565
I
See Footnote
Common Stock Warrant (right to buy)
2.40
2022-09-08
4
P
0
513834
0.0001
A
2027-09-08
Common Stock
513834
513834
I
See Footnote
The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.
Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.
Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners. Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.
The common stock warrants expire on September 8, 2027 and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.
/s/ Parag Saxena - for Vedanta Partners, LLC, by Parag Saxena, its CEO
2022-09-12
/s/ Parag Saxena - for Vedanta Associates-R, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO
2022-09-12
/s/ Parag Saxena - for Vedanta Associates, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO
2022-09-12
/s/ Parag Saxena - for Beta Operators Fund, L.P., by Vedanta Associates, LP, its general partner, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO
2022-09-12
/s/ Parag Saxena
2022-09-12