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