Statement of Changes in Beneficial Ownership (4)
March 22 2021 - 7:13PM
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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Giaccia Amato |
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., 3730 KIRBY DRIVE, SUITE 1200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/19/2021 |
(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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Common Stock | 3/19/2021 | | M | | 8055 | A | $0.06 | 949935 | D | |
Common Stock | 3/19/2021 | | M | | 4028 | A | $0.06 | 953963 | D | |
Common Stock | 3/19/2021 | | G |
V
| 12083 (1) | D | $0.00 | 941880 | D | |
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 Option (Right to buy) | $0.06 | 3/19/2021 | | M | | | 8055 | 10/12/2018 (2) | 4/25/2021 | Common Stock | 8055 | $0.00 | 0 | D | |
Stock Option (Right to buy) | $0.06 | 3/19/2021 | | M | | | 4028 | 10/12/2018 (2) | 4/25/2021 | Common Stock | 4028 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | This transaction involved a gift of securities by the reporting person to The Denise Chan Cancer Biology Program Endowed Fund in the Stanford Cancer Institute in the School of Medicine. |
(2) | On April 26, 2011, the reporting person was granted certain options to purchase shares of common stock 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"), these options were converted into options to purchase an aggregate of 12,083 (8,055 and 4,028) shares of common stock (as adjusted a stock split) of Aravive, Inc. at a per share exercise price of $0.06 per share (as adjusted for a stock split). The options were fully vested with respect to all of the underlying shares and exercisable as of the effective date of the merger described in the Merger Agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Giaccia Amato C/O ARAVIVE, INC. 3730 KIRBY DRIVE, SUITE 1200 HOUSTON, TX 77098 | X |
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Signatures
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/s/ Abel Svitavsky, Attorney-In-Fact | | 3/22/2021 |
**Signature of Reporting Person | Date |
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