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