Aravive, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-09-28: Reporting owner Rangwala Reshma; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-09-15: Reporting owner ROGERS MICHAEL W; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-09-15: Reporting owner ROGERS MICHAEL W; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-09-14: Reporting owner ESHELMAN FREDRIC N | Eshelman Ventures, LLC; Form 4; Security Stock Option; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-09-28 | Rangwala Reshma Officer (Chief Medical Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $4.95 exercise price | 2020-09-29 | |
| 2020-09-15 | ROGERS MICHAEL W Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,024 15,024 owned after | $5.99 exercise price | 2020-09-17 | |
| 2020-09-15 | ROGERS MICHAEL W Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,987 14,987 owned after | $5.99 exercise price | 2020-09-17 | |
| 2020-09-14 | ESHELMAN FREDRIC N | Eshelman Ventures, LLC Director | Other | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,029 16,029 owned after | $5.63 exercise price | 2020-09-15 | |
| 2020-09-14 | Tabibiazar Raymond Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,029 16,029 owned after | $5.63 exercise price | 2020-09-15 | |
| 2020-09-14 | Giaccia Amato Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,029 16,029 owned after | $5.63 exercise price | 2020-09-15 | |
| 2020-09-14 | Zhang Eric Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,029 16,029 owned after | $5.63 exercise price | 2020-09-15 | |
| 2020-06-01 | Eshelman Ventures, LLC | ESHELMAN FREDRIC N Other | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.72 exercise price | 2020-06-03 | |
| 2020-06-01 | Eshelman Ventures, LLC | ESHELMAN FREDRIC N Other | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,226 3,226 owned after | $12.72 exercise price | 2020-06-03 | |
| 2020-04-08 | McIntyre Gail Frances Director, Officer (CEO and President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $6.16 exercise price | 2020-04-09 | |
| 2020-01-22 | McIntyre Gail Frances Officer (Chief Scientific Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,583 48,583 owned after | $10.84 exercise price | 2020-01-24 | |
| 2020-01-22 | Shah Vinay Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,826 34,826 owned after | $10.84 exercise price | 2020-01-24 | |
| 2020-01-09 | Shepard Jay Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,075 5,075 owned after | $13.77 exercise price | 2020-01-09 | |
| 2020-01-09 | Hemrajani Rekha Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +143,000 143,000 owned after | $13.77 exercise price | 2020-01-09 |