0001437749-21-027744.txt : 20211202
0001437749-21-027744.hdr.sgml : 20211202
20211202192809
ACCESSION NUMBER: 0001437749-21-027744
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211130
FILED AS OF DATE: 20211202
DATE AS OF CHANGE: 20211202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Giaccia Amato
CENTRAL INDEX KEY: 0001753058
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36361
FILM NUMBER: 211468295
MAIL ADDRESS:
STREET 1: C/O VERSARTIS, INC.
STREET 2: 1020 MARSH ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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
2021-11-30
0001513818
Aravive, Inc.
ARAV
0001753058
Giaccia Amato
C/O ARAVIVE, INC., RIVER OAKS TOWER,
3730 KIRBY DRIVE, SUITE 1200
HOUSTON
TX
77098
1
Common Stock
2021-11-30
4
M
0
12350
0.06
A
954230
D
Common Stock
2021-11-30
4
M
0
38761
0.24
A
992991
D
Common Stock
2021-11-30
4
M
0
500
0.24
A
993491
D
Common Stock
2021-11-30
4
S
0
252
3.22
D
993239
D
Common Stock
2021-11-30
4
S
0
2954
3.22
D
990285
D
Common Stock
2021-11-30
4
S
0
39
3.22
D
990246
D
Stock Option
0.06
2021-11-30
4
M
0
12350
0
D
2018-10-12
2022-11-14
Common Stock
12350
0
D
Stock Option
0.24
2021-11-30
4
M
0
38761
0
D
2018-10-12
2024-09-30
Common Stock
38761
0
D
Stock Option
0.24
2021-11-30
4
M
0
500
0
D
2018-10-12
2024-12-31
Common Stock
500
8620
D
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.
/s/ Abel Svitavsky, Attorney-In-Fact
2021-12-02