Aravive, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-16: 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.
- 2016-06-14: Reporting owner AKKARAJU SRINIVAS; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-18: 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).
- 2016-05-18: Reporting owner GREER R SCOTT; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-16 | Westberg Paul Officer (Sr. VP, Corporate Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 2,312 owned after | $1.27 exercise price | 2016-12-19 | |
| 2016-06-14 | AKKARAJU SRINIVAS Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,720 28,720 owned after | $10.87 exercise price | 2016-06-20 | |
| 2016-05-18 | 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) | +14,625 14,625 owned after | $8.12 exercise price | 2016-05-20 | |
| 2016-05-18 | GREER R SCOTT Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,625 14,625 owned after | $8.12 exercise price | 2016-05-20 | |
| 2016-05-18 | JENNINGS EDMON R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,625 14,625 owned after | $8.12 exercise price | 2016-05-20 | |
| 2016-05-18 | SUN ANTHONY Y Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,625 14,625 owned after | $8.12 exercise price | 2016-05-20 | |
| 2016-05-18 | Varian John Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,625 14,625 owned after | $8.12 exercise price | 2016-05-20 | |
| 2016-04-04 | Hislop Colin Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +223,100 223,100 owned after | $8.17 exercise price | 2016-05-02 | |
| 2016-01-28 | 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) | +83,800 83,800 owned after | $10.68 exercise price | 2016-02-01 | |
| 2016-01-28 | 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) | +54,400 54,400 owned after | $10.68 exercise price | 2016-02-01 | |
| 2016-01-28 | 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) | +209,200 209,200 owned after | $10.68 exercise price | 2016-02-01 | |
| 2016-01-28 | 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) | +42,000 42,000 owned after | $10.68 exercise price | 2016-02-01 |