Aravive, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2022-11-29: Form 8-K; Period of report 2022-11-29; Description 7.01 Regulation FD Disclosure; 8.01 Other Events; Details 7.01.
- 2022-11-16: Form 8-K; Period of report 2022-11-10; Description 8.01 Other Events; Details 8.01.
- 2022-11-10: Form 8-K; Period of report 2022-11-10; Description 2.02 Results of Operations and Financial Condition; Details 2.02.
- 2022-10-28: Form 8-K/A; Period of report 2022-10-24; Description 8.01 Other Events; Details 8.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2022-11-29 | 8-K | 2022-11-29 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 On November 29, 2022, Aravive, Inc. (the “Company”) issued a press release attached hereto as Exhibit 99.1 announcing that the U.S. Food and Drug Administration (the “FDA”) has granted Fast Track Designation to the Company’s lead program, batiraxcept, for treatment of patients with advanced or metastatic clear cell renal cell carcinoma (ccRCC) who have progressed after one or two prior lines of systemic therapy that include both immuno-oncology (IO)-based and vascular endothelial growth factor tyrosine kinase inhibitor (VEGF-TKI)-based therapies (either in combination or sequentially). 8.01 On November 29, 2022, the Company issued a press release announcing that the FDA has granted Fast Track Designation to the Company’s lead program, batiraxcept, for treatment of patients with advanced or metastatic clear cell renal cell carcinoma (ccRCC) who have progressed after one or two prior lines of systemic therapy that include both immuno-oncology (IO)-based and vascular endothelial growth factor tyrosine kinase inhibitor (VEGF-TKI)-based therapies (either in combination or sequentially). | arav20221128_8k.htm |
| 2022-11-16 | 8-K | 2022-11-10 | 8.01 Other Events | 8.01 On November 10, 2022, Aravive, Inc. (the “Company”) received notification from the Nasdaq Listing Qualifications Staff (the “Staff”) that the Company had regained compliance with the Nasdaq Stock Market Listing Rules that require maintenance of a minimum bid price of $1.00. | arav20221115_8k.htm |
| 2022-11-10 | 8-K | 2022-11-10 | 2.02 Results of Operations and Financial Condition | 2.02 On November 10, 2022, Aravive, Inc., a Delaware corporation (the “Registrant”), issued a press release that included financial information for its quarter ended September 30, 2022. | arav20220830_8k.htm |
| 2022-10-28 | 8-K/A | 2022-10-24 | 8.01 Other Events | 8.01 On October 27, 2022, the Company closed its previously announced private placement priced at-the-market consistent with the rules of the Nasdaq Stock Market LLC (the “Private Placement”) pursuant to which the Company entered into a securities purchase agreement (the “Purchase Agreement”) with several institutional accredited investors (the “Investors”), Eshelman Ventures, LLC (“Eshelman Ventures”) and certain directors and officers of the Company (the “Insiders” and together with Eshelman Ventures, the “Insider Investors”), whereby the Company issued and sold an aggregate of (i) 29,308,612 shares (the “Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”), (ii) with respect to certain Investors, in lieu of the Shares, pre-funded warrants to purchase up to an aggregate of 15,870,199 shares of Common Stock (the “Pre-Funded Warrants”), and (iii) accompanying Series A warrants (the “Series A Warrants”) and Series B warrants (the “Series B Warrants”, together with the Series A Warrants, the “Warrants”) to purchase up to an aggregate of 45,178,811 shares of Common Stock or Pre-Funded Warrants. | arav20221027_8ka.htm |
| 2022-10-26 | 8-K | 2022-10-24 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 3.02 The information contained above in Item 1.01 relating to the Private Placement is hereby incorporated by reference into this Item 3.02. 8.01 On October 25, 2022, the Company issued a press release announcing the pricing of the Private Placement described above. | arav20221025_8k.htm |
| 2022-10-11 | 8-K | 2022-10-10 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 On October 10, 2022, Aravive, Inc. (the “Company”) issued a press release attached hereto as Exhibit 99.1 announcing that it received a $6 million development milestone payment from its licensee, 3D Medicines Inc. This milestone is based on the initiation of the global Phase 3 platinum resistant ovarian cancer (PROC) clinical trial in China for the development of the Company’s lead product candidate, batiraxcept. 8.01 On October 10, 2022, the Company issued a press release announcing that it received a $6 million development milestone payment from its licensee, 3D Medicines Inc. This milestone is based on the initiation of the global Phase 3 platinum resistant ovarian cancer (PROC) clinical trial in China for the development of the Company’s lead product candidate, batiraxcept. | arav20221010_8k.htm |
| 2022-09-27 | 8-K | 2022-09-27 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 Aravive, Inc. (the “Company”) will be making several presentations to investors over the next several weeks. 8.01 The Company is providing an update on its Phase 1b pancreatic study. | arav20220926_8k.htm |
| 2022-09-22 | 8-K | 2022-09-22 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 On September 22, 2022, Aravive, Inc. (the “Company”) held its 2022 Annual Meeting of Stockholders (the “Annual Meeting”) at which the Company’s stockholders voted on three (3) proposals (the “Proposals”) and cast their votes as described below. | arav20220922_8k.htm |
| 2022-08-26 | 8-K | 2022-08-26 | 7.01 Regulation FD Disclosure | 7.01 Aravive, Inc. (the “Company”) will be making several presentations to investors over the next several weeks. | arav20220826_8k.htm |
| 2022-08-26 | 8-K | 2022-08-26 | 7.01 Regulation FD Disclosure | 7.01 Aravive, Inc. (the “Company”) will be making several presentations to investors over the next several weeks. | arav20220825_8k.htm |
| 2022-08-11 | 8-K | 2022-08-11 | 2.02 Results of Operations and Financial Condition | 2.02 On August 11, 2022, Aravive, Inc., a Delaware corporation (the “Registrant”), issued a press release that included financial information for its quarter ended June 30, 2022. | arav20220608_8k.htm |
| 2022-08-11 | 8-K | 2022-08-09 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On August 9, 2022, Aravive, Inc. (the “Company”) received written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that for the preceding 30 consecutive business days (June 27, 2022 through August 8, 2022), the Company’s common stock did not maintain a minimum closing bid price of $1.00 (“Minimum Bid Price Requirement”) per share as required by Nasdaq Listing Rule 5550(a)(2). | arav20220810_8k.htm |
| 2022-07-05 | 8-K | 2022-07-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 5.02 Effective as of July 1, 2022, Aravive, Inc. (the “Company”) appointed Dr. Robert B. Geller to serve as the Company’s Chief Medical Officer. 7.01 On July 5, 2022, the Company issued a press release regarding the matters discussed in Item 5.02 above. | arav20220630_8k.htm |
| 2022-06-03 | 8-K | 2022-05-30 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 5.02 On May 30, 2022, Vinay Shah notified the Executive Chairman of the Board of Directors (the “Board”) of Aravive, Inc. (the “Company”) of his decision to resign from his position as the Company’s Chief Financial Officer effective June 2, 2022. 7.01 On June 3, 2022, the Company issued a press release regarding the matters discussed in Item 5.02 above. | arav20220601_8k.htm |
| 2022-05-26 | 8-K | 2022-05-26 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 On May 26, 2022, Aravive, Inc. (the “Company”) issued a press release announcing the presentation of updated Phase 1b/2 ccRCC data at the 2022 American Society of Clinical Oncology (ASCO) annual meeting, taking place June 3-7 in Chicago (the “2022 ASCO Annual Meeting”). 8.01 The Company presented updated Phase 1b/2 ccRCC data at the 2022 ASCOAnnual Meeting. | arav20220525_8k.htm |
| 2022-05-12 | 8-K | 2022-05-12 | 2.02 Results of Operations and Financial Condition | 2.02 On May 12, 2022, Aravive, Inc. (the “Company”) issued a press release announcing its financial results for the quarter ended March 31, 2022. | arav20220307_8k.htm |
| 2022-05-11 | 8-K | 2022-05-11 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 As previously announced, Aravive, Inc. (the “Company”) will host a Key Opinion Leader Symposium ( the “Symposium”) on May 11, 2022. 8.01 The Company’s updated investor presentation includes the following information. | arav20220510_8k.htm |
| 2022-04-04 | 8-K | 2022-04-01 | 5.07 Submission of Matters to a Vote of Security Holders; 8.01 Other Events | 5.07 On April 1, 2022, Aravive, Inc. (the “Company”) held its 2022 Special Meeting of Stockholders (the “Special Meeting”) at which the Company’s stockholders voted on two (2) proposals (the “Proposals”) and cast their votes as described below. 8.01 On April 1, 2022, Eshelman Ventures, after obtaining the requisite approval from the Company’s stockholders at the Special Meeting, exercised the Pre-Funded Warrant in full and was issued 4,545,455 shares of Common Stock. | arav20220404_8k.htm |
| 2022-04-01 | 8-K | 2022-03-31 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 On April 1, 2022, Aravive, Inc. (the “Company”) issued a press release announcing that it had closed its previously announced registered direct offering priced at-the-market under Nasdaq rules with a single healthcare-focused institutional investor and Eshelman Ventures, LLC. 8.01 On March 31, 2022, the Company closed its previously announced registered direct offering priced at-the-market under Nasdaq rules with a single healthcare-focused institutional investor and Eshelman Ventures, LLC. | arav20220331_8k.htm |
| 2022-03-31 | 8-K | 2022-03-31 | 2.02 Results of Operations and Financial Condition | 2.02 On March 31, 2022, Aravive, Inc. (the “Company”) issued a press release announcing its financial results for the fourth quarter and year ended December 31, 2021. | arav20220316_8k.htm |
| 2022-03-31 | 8-K | 2022-03-29 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure | 1.01 On March 29, 2022, Aravive, Inc. (the “Company”) entered into a securities purchase agreement (the “Investor Purchase Agreement”) with a certain institutional investor (the “Investor”), and a securities purchase agreement (the “Purchase Agreement”) with Eshelman Ventures, LLC (“Eshelman Ventures”), pursuant to which the Company offered to the Investor and Eshelman Ventures, in a registered direct offering priced at-the-market consistent with the rules of the Nasdaq Stock Market (the “Registered Direct Offering”), (i) an aggregate 3,185,216 shares (consisting of 2,325,000 shares for the Investor and 860,216 shares for Eshelman Ventures) (collectively, the “Shares”) of the Company’s common stock, $0.0001 par value per share, (ii) pre-funded warrants to purchase up to an aggregate of 1,665,025 shares of Common Stock (the “Pre-Funded Warrants”), and (iii) warrants to purchase up to 4,850,241 shares (consisting of warrants (the “Investor Warrants”) to purchase up to 3,990,025 shares for the Investor and warrants (the “Eshelman Warrants”) to purchase up to 860,216 shares of Common Stock for Eshelman Ventures) of Common Stock (collectively, the “Common Stock Warrants”). 7.01 On March 30, 2022, the Company issued a press release announcing the pricing of the Registered Direct Offering described above, a copy of which is furnished as Exhibit 99.1 hereto. | arav20220330_8k.htm |
| 2022-03-25 | 8-K | 2022-03-22 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 22, 2022, Reshma Rangwala, M.D., Ph.D. notified Aravive, Inc. (the “Company”) of her decision to resign as the Company’s Chief Medical Officer, effective as of March 28, 2022. | arav20220325_8k.htm |
| 2022-03-22 | 8-K | 2022-03-21 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 22, 2022, Aravive, Inc. (the “Company”) announced the appointment of Leonard Scott Dove, Ph.D, effective March 21, 2022, as Chief Operating Officer of the Company. | arav20220321_8k.htm |
| 2022-03-21 | 8-K | 2022-03-21 | 8.01 Other Events | 8.01 On February 1, 2022, Aravive, Inc. (the “Company”) filed with the U.S. Securities and Exchange Commission (the “SEC”) a preliminary proxy statement on Schedule 14A relating to the special meeting of the Company’s stockholders to be held on April 1, 2022 to, among other things, vote on a proposal to approve, for the purposes of complying with Listing Rule 5635(b) of The Nasdaq Stock Market LLC (“Nasdaq”), the issuance of up to 4,545,455 shares of the Company’s common stock, par value $0.0001 per share, in the aggregate (subject to adjustment under certain circumstances), upon exercise of the pre-funded warrant (the “Pre-Funded Warrant”) issued by the Company on January 5, 2022 to Eshelman Ventures, LLC, a North Carolina limited liability company (“Eshelman Ventures”), pursuant to the terms of that certain Investment Agreement (the “Investment Agreement”) entered into on January 3, 2022 by and among the Company, Eshelman Ventures, LLC and, solely for purposes of Article IV and Article V of the Investment Agreement, Fredric N. Eshelman, Pharm.D. (the “Issuance Proposal”). | arav20220318_8k.htm |
| 2022-03-03 | 8-K | 2022-03-03 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 On March 3, 2022, Aravive, Inc. (the “Company”) issued a press release attached hereto as Exhibit 99.1 announcing positive updated data and new biomarker data from its Phase 1b study of batiraxcept in clear cell renal cell carcinoma. 8.01 On March 3, 2022, the Company issued a press release announcing the following positive updated data and new biomarker data from its Phase 1b study of batiraxcept in clear cell renal cell carcinoma. | arav20220302_8k.htm |
| 2022-01-31 | 8-K | 2022-01-31 | 7.01 Regulation FD Disclosure; 8.01 Other Events | 7.01 On January 31, 2022, Aravive, Inc. (the “Company”) issued a press release announcing that it has dosed the first patient in the Phase 2 portion of the Phase 1b/2 study of batiraxcept for the treatment of clear cell renal cell carcinoma (ccRCC) and that the data reported to date shows clinically relevant benefit of adding batiraxcept to the current standard of care in ccRCC without adding to the toxicity profile. 8.01 On January 31, 2022, the Company issued a press release announcing that it has dosed the first patient in the Phase 2 portion of the Phase 1b/2 study of batiraxcept for the treatment of clear cell renal cell carcinoma (ccRCC) and that the data reported to date shows clinically relevant benefit of adding batiraxcept to the current standard of care in ccRCC without adding to the toxicity profile. | arav20220128_8k.htm |
| 2022-01-04 | 8-K | 2022-01-03 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 3.02 Pursuant to the Investment Agreement described in Item 1.01 of this Current Report on Form 8-K, which description is incorporated herein by reference, on January 3, 2022, the Company agreed to sell a Pre-Funded Warrant to the Investor to purchase an aggregate of 4,545,455 Warrant Shares for the purchase price of $10,000,001. 5.02 On January 3, 2022, Dr. Eshelman was appointed the Executive Chairman of the Company. 7.01 The Company will be making several presentations to investors over the next several weeks. 8.01 On January 3, 2022, the Company issued a press release announcing that it had entered into the Investment Agreement. | arav20220102_8k.htm |