Aravive, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 111 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-03-20: Reporting owner Advent Life Sciences LLP | Advent Life Sciences Fund I LP; Form 3; Security Series B Convertible Preferred Stock; Transaction Holding.
- 2014-03-20: Reporting owner Advent Life Sciences LLP | Advent Life Sciences Fund I LP; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2014-03-20: Reporting owner Advent Life Sciences LLP | Advent Life Sciences Fund I LP; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2014-03-20: Reporting owner Advent Life Sciences LLP | Advent Life Sciences Fund I LP; Form 3; Security Series D-1 Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series E Converible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | $0.45 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | $0.45 exercise price | 2014-03-20 |