Amato Giaccia - 30 Nov 2021 Form 4 Insider Report for Aravive, Inc.

Role
Director
Signature
/s/ Abel Svitavsky, Attorney-In-Fact
Issuer symbol
N/A
Transactions as of
30 Nov 2021
Net transactions value
-$285
Form type
4
Filing time
02 Dec 2021, 18:28:09 UTC
Previous filing
13 Sep 2021
Next filing
23 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ARAV Common Stock Options Exercise $741 +12,350 +1.3% $0.0600 954,230 30 Nov 2021 Direct F1
transaction ARAV Common Stock Options Exercise $9,303 +38,761 +4.1% $0.2400 992,991 30 Nov 2021 Direct F2
transaction ARAV Common Stock Options Exercise $120 +500 +0.05% $0.2400 993,491 30 Nov 2021 Direct F3
transaction ARAV Common Stock Sale $811 -252 -0.03% $3.22* 993,239 30 Nov 2021 Direct F4
transaction ARAV Common Stock Sale $9,512 -2,954 -0.3% $3.22* 990,285 30 Nov 2021 Direct F4
transaction ARAV Common Stock Sale $126 -39 -0% $3.22* 990,246 30 Nov 2021 Direct F4

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 ARAV Stock Option Options Exercise $0 -12,350 -100% $0.000000* 0 30 Nov 2021 Common Stock 12,350 $0.0600 Direct F1
transaction ARAV Stock Option Options Exercise $0 -38,761 -100% $0.000000* 0 30 Nov 2021 Common Stock 38,761 $0.2400 Direct F2
transaction ARAV Stock Option Options Exercise $0 -500 -5.5% $0.000000 8,620 30 Nov 2021 Common Stock 500 $0.2400 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 This transaction represents the sale of stock to cover the exercise price of the options.