0001437749-22-000442.txt : 20220105
0001437749-22-000442.hdr.sgml : 20220105
20220105165352
ACCESSION NUMBER: 0001437749-22-000442
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220103
FILED AS OF DATE: 20220105
DATE AS OF CHANGE: 20220105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ESHELMAN FREDRIC N
CENTRAL INDEX KEY: 0001033409
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36361
FILM NUMBER: 22511960
MAIL ADDRESS:
STREET 1: PPD INC
STREET 2: 929 NORTH FRONT STREET
CITY: WILMINGTON
STATE: NC
ZIP: 28401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Eshelman Ventures, LLC
CENTRAL INDEX KEY: 0001706673
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36361
FILM NUMBER: 22511959
BUSINESS ADDRESS:
STREET 1: 319 N. 3RD STREET, SUITE 301
CITY: WILMINGTON
STATE: NC
ZIP: 28401
BUSINESS PHONE: 910 558 6885
MAIL ADDRESS:
STREET 1: 319 N. 3RD STREET, SUITE 301
CITY: WILMINGTON
STATE: NC
ZIP: 28401
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Aravive, Inc.
CENTRAL INDEX KEY: 0001513818
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 264106690
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: RIVER OAKS TOWER
STREET 2: 3730 KIRBY DRIVE, SUITE 1200
CITY: HOUSTON
STATE: TX
ZIP: 77098
BUSINESS PHONE: 936-355-1910
MAIL ADDRESS:
STREET 1: RIVER OAKS TOWER
STREET 2: 3730 KIRBY DRIVE, SUITE 1200
CITY: HOUSTON
STATE: TX
ZIP: 77098
FORMER COMPANY:
FORMER CONFORMED NAME: Versartis, Inc.
DATE OF NAME CHANGE: 20110223
4
1
rdgdoc.xml
FORM 4
X0306
4
2022-01-03
0001513818
Aravive, Inc.
ARAV
0001033409
ESHELMAN FREDRIC N
C/O ARAVIVE, INC., RIVER OAKS TOWER,
3730 KIRBY DRIVE, SUITE 1200
HOUSTON
TX
77098
1
1
1
Executive Chairman of Board
0001706673
Eshelman Ventures, LLC
C/O ARAVIVE, INC., RIVER OAKS TOWER,
3730 KIRBY DRIVE, SUITE 1200
HOUSTON
TX
77098
1
1
Pre-Funded Warrant (right to buy)
0.0001
2022-01-03
4
A
0
4545455
2.20
A
Common Stock
4545455
4545455
I
See footnote
The Pre-Funded Warrant to purchase shares of common stock of Aravive, Inc. (the "Company") are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, until the Company obtains the Requisite Stockholder Approval (as defined below), no shares issuable upon exercise of the Pre-Funded Warrant will be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant will not be exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3)
"Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule.
/s/ ESHELMAN VENTURES, LLC, By: /s/ Fredric N. Eshelman, Name: Fredric N. Eshelman, Title: Managing Member
2022-01-05
/s/ Fredric N. Eshelman
2022-01-05