Aravive, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 42 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-04: Reporting owner Haas Kevin; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2017-12-04: Reporting owner Haas Kevin; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2017-12-04: Reporting owner Haas Kevin; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2017-12-04: Reporting owner Haas Kevin; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2017-12-04 | ||
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2017-12-04 | ||
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.17 exercise price | 2017-12-04 | ||
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $31.96 exercise price | 2017-12-04 | ||
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $22.24 exercise price | 2017-12-04 | ||
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $10.68 exercise price | 2017-12-04 | ||
| 2017-12-04 holding as of filing | Haas Kevin Officer (VP, Finance and PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $14.30 exercise price | 2017-12-04 | ||
| 2017-09-05 | Gut Robert Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +107,000 107,000 owned after | $19.80 exercise price | 2017-09-06 | |
| 2017-05-25 | AKKARAJU SRINIVAS Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | GREER R SCOTT Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | JENNINGS EDMON R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | Malik Shahzad Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | SUN ANTHONY Y Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | Varian John Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | DOBMEIER ERIC Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-05-25 | DOBMEIER ERIC Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,850 6,850 owned after | $15.83 exercise price | 2017-06-06 | |
| 2017-04-04 | Hislop Colin Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 188,100 owned after | $8.17 exercise price | 2017-04-05 | |
| 2017-04-03 | Stout Jay S Officer (SVP, Technical Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $21.30 exercise price | 2017-04-05 | |
| 2017-03-22 | Woody Tracy M Officer (Chief Commercial Officer) | 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 | $20.15 exercise price | 2017-03-31 | |
| 2017-02-27 | Westberg Paul Officer (SVP and Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,509 2,975 owned after | $1.61 exercise price | 2017-02-28 | |
| 2017-02-27 | Westberg Paul Officer (SVP and Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,991 7,491 owned after | $2.53 exercise price | 2017-02-28 | |
| 2017-02-27 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,166 65,828 owned after | $2.53 exercise price | 2017-02-28 | |
| 2017-02-24 | Brumm Joshua T Officer (COO and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 122,108 owned after | $2.53 exercise price | 2017-02-28 | |
| 2017-02-23 | Westberg Paul Officer (SVP and Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,590 10,484 owned after | $1.61 exercise price | 2017-02-23 | |
| 2017-02-23 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 70,994 owned after | $2.53 exercise price | 2017-02-23 | |
| 2017-02-21 | Westberg Paul Officer (SVP and Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,087 506 owned after | $1.61 exercise price | 2017-02-23 | |
| 2017-02-21 | Westberg Paul Officer (SVP and Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,323 17,074 owned after | $1.61 exercise price | 2017-02-23 | |
| 2017-02-21 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 78,994 owned after | $2.53 exercise price | 2017-02-23 | |
| 2017-02-01 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,576 91,160 owned after | $2.53 exercise price | 2017-02-02 | |
| 2017-02-01 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,166 86,994 owned after | $2.53 exercise price | 2017-02-02 | |
| 2017-01-31 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,662 97,736 owned after | $2.53 exercise price | 2017-02-02 | |
| 2017-01-30 | Shepard Jay Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,596 108,398 owned after | $2.53 exercise price | 2017-01-31 | |
| 2017-01-27 | Brumm Joshua T Officer (COO and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,590 65,590 owned after | $14.30 exercise price | 2017-01-31 | |
| 2017-01-27 | 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) | +144,900 144,900 owned after | $14.30 exercise price | 2017-01-31 | |
| 2017-01-27 | 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) | +43,700 43,700 owned after | $14.30 exercise price | 2017-01-31 | |
| 2017-01-27 | Ward Shane Officer (SVP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +46,200 46,200 owned after | $14.30 exercise price | 2017-01-31 | |
| 2017-01-27 | Westberg Paul Officer (SVP and Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,130 40,130 owned after | $14.30 exercise price | 2017-01-31 | |
| 2017-01-11 | 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 | −7,931 15,593 owned after | $1.61 exercise price | 2017-01-11 | |
| 2017-01-10 | 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 | −10,467 0 owned after | $1.38 exercise price | 2017-01-11 | |
| 2017-01-10 | 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 | −746 23,524 owned after | $1.61 exercise price | 2017-01-11 | |
| 2017-01-09 | 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 | −2,312 0 owned after | $1.27 exercise price | 2017-01-11 | |
| 2017-01-09 | 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 | −11,044 10,467 owned after | $1.38 exercise price | 2017-01-11 |