0001493152-23-042540.txt : 20231122 0001493152-23-042540.hdr.sgml : 20231122 20231122182827 ACCESSION NUMBER: 0001493152-23-042540 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231120 FILED AS OF DATE: 20231122 DATE AS OF CHANGE: 20231122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SAXENA PARAG CENTRAL INDEX KEY: 0001015823 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38634 FILM NUMBER: 231434714 MAIL ADDRESS: STREET 1: 250 WEST 55TH STREET, SUITE 13D CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VEDANTA PARTNERS, LLC CENTRAL INDEX KEY: 0001502216 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38634 FILM NUMBER: 231434716 BUSINESS ADDRESS: STREET 1: 250 WEST 55TH STREET, SUITE 13D CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-710-5220 MAIL ADDRESS: STREET 1: 250 WEST 55TH STREET, SUITE 13D CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VEDANTA ASSOCIATES, L.P. CENTRAL INDEX KEY: 0001502222 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38634 FILM NUMBER: 231434715 BUSINESS ADDRESS: STREET 1: 250 WEST 55TH STREET, SUITE 13D CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-710-5220 MAIL ADDRESS: STREET 1: 250 WEST 55TH STREET, SUITE 13D CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: REVIVA PHARMACEUTICALS HOLDINGS, INC. CENTRAL INDEX KEY: 0001742927 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 19925 STEVENS CREEK BLVD. STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 4085018881 MAIL ADDRESS: STREET 1: 19925 STEVENS CREEK BLVD. STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 FORMER COMPANY: FORMER CONFORMED NAME: Tenzing Acquisition Corp. DATE OF NAME CHANGE: 20180606 4 1 ownership.xml X0508 4 2023-11-20 0 0001742927 REVIVA PHARMACEUTICALS HOLDINGS, INC. RVPH 0001015823 SAXENA PARAG C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK NY 10019 1 0 1 0 0001502216 VEDANTA PARTNERS, LLC C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK NY 10019 0 0 1 0 0001502222 VEDANTA ASSOCIATES, L.P. C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK NY 10019 0 0 1 0 0 Pre-Funded Warrant 0.0001 2023-11-20 4 J 0 585366 A Common Stock 585366 585366 I See Footnote Common Stock Warrant (right to buy) 5.00 2023-11-20 4 J 0 585366 A 2028-11-20 Common Stock 585366 585366 I See Footnote The reported securities are included within 585,366 units purchased by Vedanta R2 Partners, LP ("Vedanta R2"), an investment vehicle managed by the Reporting Persons, for $5.1249 per unit (each, a "Unit"), with such purchase approved by the board of directors of Reviva Pharmaceuticals Holdings, Inc. (the "Issuer") as exempt from Section 16(b), to the extent applicable, as an acquisition from the Issuer pursuant to Rule 16b-3(d). Each Unit consists of one pre-funded warrant to purchase one share of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock"), and one common stock warrant to purchase one share of Common Stock. The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the Reporting Persons and their affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), no more than 19.99% of the outstanding shares of Common Stock of the Issuer. Held directly by Vedanta R2. Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Vedanta R2. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners and exercises voting and dispositive power over the securities held by Vedanta Partners. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein. The common stock warrants expire on November 20, 2028, and are exercisable immediately, to the extent that after giving effect to such exercise the Reporting Persons and their affiliates would beneficially own, for purposes of Section 13(d) of the Exchange Act, no more than 19.99% of the outstanding shares of Common Stock of the Issuer. /s/ Parag Saxena, on behalf of Vedanta Partners, LLC, by Parag Saxena, its CEO 2023-11-22 /s/ Parag Saxena on behalf of Vedanta Associates, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO 2023-11-22 /s/ Parag Saxena 2023-11-22