Vedanta Partners, Llc - Jun 1, 2021 Form 4 Insider Report for REVIVA PHARMACEUTICALS HOLDINGS, INC. (RVPH)

Role
10%+ Owner
Signature
/s/ Parag Saxena - for Vedanta Partners, LLC, by Parag Saxena, its CEO
Stock symbol
RVPH
Transactions as of
Jun 1, 2021
Transactions value $
$4,987,500
Form type
4
Date filed
6/3/2021, 05:31 PM
Next filing
Sep 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RVPH Common Stock Purchase $3.49M +931K $3.75 931K Jun 1, 2021 See Footnotes F1, F2, F6
transaction RVPH Common Stock Purchase $1.5M +399K $3.75 399K Jun 1, 2021 See Footnotes F1, F3, F7
holding RVPH Common Stock 99.5K Jun 1, 2021 See Footnotes F4, F7
holding RVPH Common Stock 871K Jun 1, 2021 See Footnote F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RVPH Warrants (right to buy) Purchase +931K 931K Jun 1, 2021 Common Stock 698K $4.13 See Footnotes F1, F2, F6
transaction RVPH Warrants (right to buy) Purchase +399K 399K Jun 1, 2021 Common Stock 299K $4.13 See Footnotes F1, F3, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The securities were purchased as a unit, with each unit consisting of one share of common stock and one warrant exercisable for 0.75 shares of common stock. The purchase price of each unit was $3.75 per share.
F2 Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners.
F3 Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners.
F4 Held directly by Vedanta Associates. Vedanta Partners is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners.
F5 Held directly by Mr. Saxena.
F6 Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.
F7 Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.