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CUSIP No. 03890D108
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SCHEDULE 13D
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Page
3
of 5 Pages
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Item 1. Security and Issuer
This Amendment No. 1 to the original Schedule 13D filed on October 19, 2018 by the Reporting Person relates to the common stock, par
value $0.0001 per share (“Common Stock”), of Aravive, Inc., a Delaware corporation (the “Issuer”). The Issuer’s principal executive office is located at River Oaks Tower, 3730 Kirby Drive, Suite 1200, Houston, Texas 77098.
Item 3. Source and Amount of Funds or Other Consideration
Item 3 is hereby amended and supplemented as follows:
On January 3, 2019, Dr. Giaccia was issued (a) an option to purchase 7,500 shares of Common Stock that vest (i) 625 shares
of Common Stock vested immediately upon grant and (ii) the balance vest pro rata on a monthly basis over the next 33 months commencing on February 12, 2019 and (b) an option to purchase 4,688 shares of Common Stock that vest (i) 1,563
shares of Common Stock vested immediately upon grant and (ii) 625 vested on a monthly basis over the next five months commencing on February 3, 2019 with full vesting, if not fully vested at such time, on the date of the Issuer’s next
annual meeting of stockholders and are now fully vested as of the date hereof.
On September 12, 2019, Dr. Giaccia was issued an
option to purchase 7,500 shares of Common Stock all of which vest pro rata on a monthly basis commencing on October 12, 2019 with full vesting, if not fully vested by October 12, 2020, on the date of the Issuer’s 2020 annual meeting
of stockholders. The options are fully vested.
On September 14, 2020, Dr. Giaccia was issued an option to purchase 16,029
shares of Common Stock all of which vest pro rata on a monthly basis commencing on October 14, 2020 with full vesting, if not fully vested by October 14, 2021, on the date of the Issuer’s 2021 annual meeting of stockholders.
On March 19, 2021, Dr. Giaccia exercised options to purchase an aggregate of 12,083 shares of Common Stock (8,055 and 4,028) and
gifted these shares of Common Stock received upon exercise of the options to The Denise Chan Cancer Biology Program Endowed Fund in the Stanford Cancer Institute in the School of Medicine.
Item 4. Purpose of Transaction
The
disclosure provided in Item 3 above is incorporated herein by reference.
Item 5. Interest in Securities of the Issuer
(a) See rows (11) and (13) of the cover pages to this Amendment No. 1 to Schedule 13D for the aggregate number and percentages of the Common Stock
beneficially owned by the Reporting Person. The percentages used in this Schedule 13D are calculated as described in footnote 1 to the cover pages to this Amendment No. 1 Schedule 13D.
(b) See rows (7) through (10) of the cover pages to this Amendment No. 1 Schedule 13D for the number of shares of Common Stock as to which each
Reporting Person has the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition.
(c) Reference
is made to the discussion in Item 3. The transaction described in the last paragraph of Item 3 above and in this Item 5(c) was reported on Form 4 filed with the SEC pursuant to Section 16 of the Act and is available on the SEC’s website
at www.sec.gov.
(d) No person other than the Reporting Person is known to have the right to receive or the power to direct the receipt of
dividends from, or the proceeds from the sale of, shares of the Common Stock.
(e) Not applicable.