Aravive, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-08-04: 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.
- 2015-07-06: 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.
- 2015-06-29: Reporting owner Malik Shahzad; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-06-29: Reporting owner Varian John; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-08-04 | 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 | −2,400 7,312 owned after | $1.27 exercise price | 2015-08-05 | |
| 2015-07-06 | 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 | −2,400 9,712 owned after | $1.27 exercise price | 2015-07-07 | |
| 2015-06-29 | 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) | +13,100 13,100 owned after | $14.73 exercise price | 2015-07-01 | |
| 2015-06-29 | Varian John Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,100 13,100 owned after | $14.73 exercise price | 2015-07-01 | |
| 2015-06-29 | SUN ANTHONY Y Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,100 13,100 owned after | $14.73 exercise price | 2015-07-01 | |
| 2015-06-29 | AKKARAJU SRINIVAS Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,100 13,100 owned after | $14.73 exercise price | 2015-07-01 | |
| 2015-06-29 | JENNINGS EDMON R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,100 13,100 owned after | $14.73 exercise price | 2015-07-01 | |
| 2015-06-29 | GREER R SCOTT Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,100 13,100 owned after | $14.73 exercise price | 2015-07-01 | |
| 2015-06-03 | 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 | −2,400 12,112 owned after | $1.27 exercise price | 2015-06-04 | |
| 2015-05-11 | Shepard Jay 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) | +309,000 309,000 owned after | $15.19 exercise price | 2015-05-13 | |
| 2015-05-04 | 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 | −2,400 14,512 owned after | $1.27 exercise price | 2015-05-06 | |
| 2015-04-06 | Ward Shane Officer (SVP, Legal and Compliance) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $17.47 exercise price | 2015-04-08 | |
| 2015-04-06 | 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 | −359 0 owned after | $1.27 exercise price | 2015-04-08 | |
| 2015-04-06 | 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 | −2,041 16,912 owned after | $1.27 exercise price | 2015-04-08 | |
| 2015-03-03 | 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 | −359 359 owned after | $1.27 exercise price | 2015-03-05 | |
| 2015-03-03 | 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 | −2,041 18,953 owned after | $1.27 exercise price | 2015-03-05 | |
| 2015-02-03 | 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 | −1,499 718 owned after | $1.27 exercise price | 2015-02-04 | |
| 2015-02-03 | 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 | −3,501 20,994 owned after | $1.27 exercise price | 2015-02-04 | |
| 2015-01-26 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP Other (Affiliate of Director) | Other (Affiliate of Director) | 4/A | Option (Right to Buy) Derivative · Indirect · See FN | Holding | 35,000 owned after | $21.00 exercise price | 2015-01-26 | |
| 2015-01-26 holding as of filing | Malik Shahzad Director | 4 | Option (Right to Buy) Derivative · Direct | Holding | 35,000 owned after | $21.00 exercise price | 2015-01-26 | |
| 2015-01-26 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP Other (Affiliate of Director) | Other (Affiliate of Director) | 4 | Option (Right to Buy) Derivative · Indirect · See FN | Holding | 35,000 owned after | $21.00 exercise price | 2015-01-26 | |
| 2015-01-05 | 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 | −5,000 2,217 owned after | $1.27 exercise price | 2015-01-07 |