0001437749-22-007849.txt : 20220331 0001437749-22-007849.hdr.sgml : 20220331 20220331160621 ACCESSION NUMBER: 0001437749-22-007849 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220329 FILED AS OF DATE: 20220331 DATE AS OF CHANGE: 20220331 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: 22792437 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: 22792435 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 2022-03-29 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 Common Stock 2022-03-29 4 A 0 860216 2.325 A 4666314 I See Footnote 1 Warrant (right to buy) 2.20 2022-03-29 4 A 0 860216 2.20 A Common Stock 860216 860216 I See footnote The shares of common stock and 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 Warrant will be exercisable immediately and will expire on the five-year anniversary of the date of issuance; however, the Warrants will not be exercisable until the occurrence of certain events and will expire on the five- year anniversary of the date of exercisability. /s/ ESHELMAN VENTURES, LLC, By: /s/ Fredric N. Eshelman, Name: Fredric N. Eshelman, Title: Managing Member 2022-03-31 /s/ Fredric N. Eshelman 2022-03-31