VEDANTA PARTNERS, LLC - 08 Sep 2022 Form 4 Insider Report for REVIVA PHARMACEUTICALS HOLDINGS, INC. (RVPH)

Reporting relationship: 10%+ Owner
Issuer ticker: RVPH
Reported as of: 08 Sep 2022
Net transaction value: +$3,499,999
SEC form: 4
Accepted by SEC: 12 Sep 2022, 16:34:34 UTC
Prior SEC filing: 03 Jun 2021
Source filing: View source filing
Reporting owner signature: /s/ Parag Saxena - for Vedanta Partners, LLC, by Parag Saxena, its CEO

Filing notes and source

Key filing fact

VEDANTA PARTNERS, LLC filed Form 4 for REVIVA PHARMACEUTICALS HOLDINGS, INC. (RVPH) on 12 Sep 2022.

Key facts

This page summarizes VEDANTA PARTNERS, LLC's Form 4 filing for REVIVA PHARMACEUTICALS HOLDINGS, INC. (RVPH).
4 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 12 Sep 2022, 16:34.

Change

Previous filing in this sequence was filed on 03 Jun 2021.
Current net transaction value: +$3,499,999.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

RVPH transaction Derivative

Pre-Funded Warrant

Purchase

Transaction value: $2,199,912
Shares: +869,565
Change %
Price: $2.53
Shares after: 869,565
Date: 08 Sep 2022
Ownership: See Footnote
Underlying class: Common Stock
Underlying amount: 869,565
Exercise price: $0.000100
Footnotes: F1, F2

RVPH transaction Derivative

Pre-Funded Warrant

Purchase

Transaction value: $1,299,949
Shares: +513,834
Change %
Price: $2.53
Shares after: 513,834
Date: 08 Sep 2022
Ownership: See Footnote
Underlying class: Common Stock
Underlying amount: 513,834
Exercise price: $0.000100
Footnotes: F1, F3

RVPH transaction Derivative

Common Stock Warrant (right to buy)

Purchase

Transaction value: $86.96
Shares: +869,565
Change %
Price: $0.000100^*
Shares after: 869,565
Date: 08 Sep 2022
Ownership: See Footnote
Underlying class: Common Stock
Underlying amount: 869,565
Exercise price: $2.40
Footnotes: F2, F4

RVPH transaction Derivative

Common Stock Warrant (right to buy)

Purchase

Transaction value: $51.38
Shares: +513,834
Change %
Price: $0.000100^*
Shares after: 513,834
Date: 08 Sep 2022
Ownership: See Footnote
Underlying class: Common Stock
Underlying amount: 513,834
Exercise price: $2.40
Footnotes: F3, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

Footnote F2

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, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners. 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.

Footnote F3

Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners. 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.

Footnote F4

The common stock warrants expire on September 8, 2027 and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.