Aravive, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 41 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-26: Reporting owner Westberg Paul; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-26: Reporting owner Brumm Joshua T; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-26: Reporting owner Cleland Jeffrey L; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-12: Reporting owner Westberg Paul; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-26 | Westberg Paul Officer (Sr. VP, Business Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,860 8,860 owned after | $22.24 exercise price | 2014-12-30 | |
| 2014-12-26 | Brumm Joshua T Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,373 24,373 owned after | $22.24 exercise price | 2014-12-30 | |
| 2014-12-26 | Cleland Jeffrey L Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,041 75,041 owned after | $22.24 exercise price | 2014-12-30 | |
| 2014-12-12 | Westberg Paul Officer (Sr. VP, Business Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,054 7,217 owned after | $1.27 exercise price | 2014-12-15 | |
| 2014-12-11 | Westberg Paul Officer (Sr. VP, Business Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,946 10,271 owned after | $1.27 exercise price | 2014-12-15 | |
| 2014-12-09 | GREER R SCOTT Director | 4 | Stock Option (right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $18.66 exercise price | 2014-12-11 | |
| 2014-06-11 | Westberg Paul Officer (Sr. VP, Business Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $31.96 exercise price | 2014-06-13 | |
| 2014-06-11 | Cleland Jeffrey L Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $31.96 exercise price | 2014-06-13 | |
| 2014-06-11 | Brumm Joshua T Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,000 32,000 owned after | $31.96 exercise price | 2014-06-13 | |
| 2014-03-20 | AKKARAJU SRINIVAS Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 | Varian John Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 | SUN ANTHONY Y Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 | JENNINGS EDMON R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 | Malik Shahzad Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 | De Rubertis Francesco Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 | Dybbs Michael Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $21.00 exercise price | 2014-03-24 | |
| 2014-03-20 holding as of filing | Shepard Jay Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Shepard Jay Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Shepard Jay Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.17 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | JENNINGS EDMON R Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.27 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | JENNINGS EDMON R Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.61 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | JENNINGS EDMON R Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.61 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.27 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.27 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.38 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.61 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.61 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Westberg Paul Officer (Sr. VP, Business Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.17 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.27 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.38 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.61 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.61 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Cleland Jeffrey L Director, Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.17 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Brumm Joshua T Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Brumm Joshua T Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Brumm Joshua T Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.34 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Brumm Joshua T Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.17 exercise price | 2014-03-20 |