Statement of Changes in Beneficial Ownership (4)
July 02 2021 - 4:07PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Ho Peter Tai-Ching |
2. Issuer Name and Ticker or Trading Symbol
Aravive, Inc.
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ARAV
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ARAVIVE, INC., RIVER OAKS TOWER,, 3730 KIRBY DRIVE, SUITE 1200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2021 |
(Street)
HOUSTON, TX 77098
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options | $5.80 | 7/1/2021 | | A | | 15435 (1) | | 7/1/2021 | 6/30/2031 | Common Stock | 15435 | $0 | 15435 | D | |
Stock Options | $5.80 | 7/1/2021 | | A | | 5245 (2) | | 7/1/2021 | 6/30/2031 | Common Stock | 5245 | $0 | 5245 | D | |
Explanation of Responses: |
(1) | Consists of options to purchase 15,435 shares of the Corporation's common stock, with immediate vesting as to 858 shares and 14,577 shares vesting pro rata over 34 months commencing on the one-month anniversary of the date of grant. |
(2) | Consists of options to purchase 5,245 shares of the Corporation's common stock, with immediate vesting as to 2,623 shares and 2,622 shares vesting on a monthly basis over two (2) months commencing on the one-month anniversary of the grant date with full vesting, if not fully vested at such time, on the date of the Corporation's next annual meeting of stockholders |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ho Peter Tai-Ching C/O ARAVIVE, INC., RIVER OAKS TOWER, 3730 KIRBY DRIVE, SUITE 1200 HOUSTON, TX 77098 | X |
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Signatures
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/s/ Abel Svitavsky, Attorney-in-fact | | 7/2/2021 |
**Signature of Reporting Person | Date |
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