Aravive, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-10-24: Reporting owner Ho Peter Tai-Ching; Form 4/A; Security Series A Warrants (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-10-24: Reporting owner Ho Peter Tai-Ching; Form 4/A; Security Series B Warrants (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-10-24: Reporting owner Zhang Eric; Form 4/A; Security Series A Warrants (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-10-24: Reporting owner Zhang Eric; Form 4/A; Security Series B Warrants (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 |
|---|---|---|---|---|---|---|---|---|
| 2022-10-24 | Ho Peter Tai-Ching Director | 4/A | Series A Warrants (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,177 27,177 owned after | $0.79 exercise price | 2022-10-27 | |
| 2022-10-24 | Ho Peter Tai-Ching Director | 4/A | Series B Warrants (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,176 27,176 owned after | $0.79 exercise price | 2022-10-27 | |
| 2022-10-24 | Zhang Eric Director | 4/A | Series A Warrants (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +271,769 271,769 owned after | $0.79 exercise price | 2022-10-27 | |
| 2022-10-24 | Zhang Eric Director | 4/A | Series B Warrants (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +271,768 271,768 owned after | $0.79 exercise price | 2022-10-27 | |
| 2022-10-24 | Giaccia Amato Director | 4 | Series A Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,884 135,884 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Giaccia Amato Director | 4 | Series B Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,884 135,884 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Zhang Eric Director | 4 | Series A Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +271,769 271,769 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Zhang Eric Director | 4 | Series B Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +271,768 271,768 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | HOWARD RUDY Officer (Chief Financial Officer) | 4 | Series A Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,435 5,435 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | HOWARD RUDY Officer (Chief Financial Officer) | 4 | Series B Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,435 5,435 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | McIntyre Gail Frances Director, Officer (CEO and President) | 4 | Series A Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,177 27,177 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | McIntyre Gail Frances Director, Officer (CEO and President) | 4 | Series B Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,176 27,176 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Ho Peter Tai-Ching Director | 4 | Series A Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,177 27,177 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Ho Peter Tai-Ching Director | 4 | Series B Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,176 27,176 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Eshelman Ventures, LLC | ESHELMAN FREDRIC N Director, 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 4 | Series A Warrants (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,153,060 8,153,060 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-10-24 | Eshelman Ventures, LLC | ESHELMAN FREDRIC N Director, 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 4 | Series B Warrants (right to buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,153,060 8,153,060 owned after | $0.79 exercise price | 2022-10-26 | |
| 2022-04-01 | ESHELMAN FREDRIC N | Eshelman Ventures, LLC Director, Officer (Executive Chairman of Board) | 10% Owner | 4 | Pre-Funded Warrant (right to buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,545,455 0 owned after | $0.00 | 2022-04-04 | |
| 2022-03-29 | Eshelman Ventures, LLC | ESHELMAN FREDRIC N Director, 10% Owner | Director, Officer (Executive Chairman of Board), 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +860,216 860,216 owned after | $2.20 | 2022-03-31 | |
| 2022-01-03 | Eshelman Ventures, LLC | ESHELMAN FREDRIC N Director, 10% Owner | Director, Officer (Executive Chairman of Board), 10% Owner | 4 | Pre-Funded Warrant (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,545,455 4,545,455 owned after | $2.20 | 2022-01-05 | |
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −759,565 0 owned after | $0.45 exercise price | 2014-03-28 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | C Conversion of derivative security | +57,831 57,831 owned after | $5.18 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −57,831 0 owned after | $5.18 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | C Conversion of derivative security | +5,489 5,489 owned after | $5.18 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,489 0 owned after | $5.18 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | C Conversion of derivative security | +510 510 owned after | $5.18 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −510 0 owned after | $5.18 exercise price | 2014-03-27 | |
| 2014-03-20 holding as of filing | Ratcliffe Liam | Chambon Philippe O. | New Leaf Venture Management II, L.L.C. | New Leaf Venture Associates II, L.P. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Delagardelle Jeani | Lathi Vijay K 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Direct | Holding | $0.45 exercise price | 2014-03-20 |