0000899243-20-015044.txt : 20200603 0000899243-20-015044.hdr.sgml : 20200603 20200603160603 ACCESSION NUMBER: 0000899243-20-015044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200601 FILED AS OF DATE: 20200603 DATE AS OF CHANGE: 20200603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ESHELMAN FREDRIC N CENTRAL INDEX KEY: 0001033409 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36361 FILM NUMBER: 20940017 MAIL ADDRESS: STREET 1: PPD INC STREET 2: 929 NORTH FRONT STREET CITY: WILMINGTON STATE: NC ZIP: 28401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eshelman Ventures, LLC CENTRAL INDEX KEY: 0001706673 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36361 FILM NUMBER: 20940018 BUSINESS ADDRESS: STREET 1: 319 N. 3RD STREET, SUITE 301 CITY: WILMINGTON STATE: NC ZIP: 28401 BUSINESS PHONE: 910 558 6885 MAIL ADDRESS: STREET 1: 319 N. 3RD STREET, SUITE 301 CITY: WILMINGTON STATE: NC ZIP: 28401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aravive, Inc. CENTRAL INDEX KEY: 0001513818 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 264106690 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: RIVER OAKS TOWER STREET 2: 3730 KIRBY DRIVE, SUITE 1200 CITY: HOUSTON STATE: TX ZIP: 77098 BUSINESS PHONE: 936-355-1910 MAIL ADDRESS: STREET 1: RIVER OAKS TOWER STREET 2: 3730 KIRBY DRIVE, SUITE 1200 CITY: HOUSTON STATE: TX ZIP: 77098 FORMER COMPANY: FORMER CONFORMED NAME: Versartis, Inc. DATE OF NAME CHANGE: 20110223 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-06-01 0 0001513818 Aravive, Inc. ARAV 0001033409 ESHELMAN FREDRIC N C/O ARAVIVE, INC. RIVER OAKS TOWER, 3730 KIRBY DRIVE, SUITE 1200 HOUSTON TX 77098 1 0 0 0 0001706673 Eshelman Ventures, LLC C/O ARAVIVE, INC. RIVER OAKS TOWER 3730 KIRBY DRIVE, SUITE 1200 HOUSTON TX 77098 0 0 0 1 See Remarks Stock Option 12.72 2020-06-01 4 A 0 7500 0.00 A 2020-06-01 2030-05-31 Common stock 7500 7500 D Stock Option 12.72 2020-06-01 4 A 0 3226 0.00 A 2020-06-01 2030-05-31 Common stock 3226 3226 D These options vest as follows: (i) 417 shares vest immediately upon grant and (ii) the remaining balance options vest pro rata on a monthly basis over the next thirty-four (34) months. These options vest as follows; (i) 1,110 shares vest immediately and (ii) 529 shares vest on a monthly basis over next four (4) months commencing June 19, 2020 with full vesting, if not fully vested at such time, on the date of Aravive's next annual meeting of stockholders. Dr. Fredric Eshelman is a director of Aravive, Inc and is the founder and principal of Eshelman Ventures, LLC. ESHELMAN VENTURES, LLC, By: /s/ Fredric N. Eshelman, Name: Fredric N. Eshelman, Title: Managing Member 2020-06-03 /s/ Fredric N. Eshelman 2020-06-03 EX-24 2 attachment1.htm EX-24 DOCUMENT
                         LIMITED POWER OF ATTORNEY FOR
                       SECTION 16 REPORTING OBLIGATIONS

     Know all by these presents, that the undersigned hereby makes, constitutes
and appoints each of Vinay Shah and Abel Svitavsky of Aravive, Inc. (the
"Company"), signing individually, the undersigned's true and lawful attorney-in-
fact and agent to:

     (1) prepare, execute on behalf of the undersigned, and submit to the U.S.
Securities and Exchange Commission (the "SEC") any documents necessary or
advisable to obtain EDGAR access codes or make any updates to the undersigned's
EDGAR access codes once obtained, enabling the undersigned to make electronic
filings of reports with the SEC;

     (2) execute for and on behalf of the undersigned, an officer, director or
holder of 10% of more of a registered class of securities of the Company, Forms
3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of
1934, as amended (the "Exchange Act") and the rules thereunder;

     (3) do and perform any and all acts for and on behalf of the undersigned
that may be necessary or desirable to complete and execute such Form 3, 4 or 5,
complete and execute any amendment or amendments thereto, and timely file such
forms or amendments with the SEC and any stock exchange or similar authority;
and

     (4) take any other action of any nature whatsoever in connection with the
foregoing which, in the opinion of such attorney-in- fact, may be of benefit, in
the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

     The undersigned hereby grants to such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorney-in-fact, in
serving in such capacity at the request of the undersigned, is not assuming, nor
is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Exchange Act.

     This Power of Attorney shall remain in full force and effect until the
earliest to occur of (i) the undersigned is no longer required to file Forms 3,
4 and 5 with respect to the undersigned's holdings of and transactions in
securities issued by the Company, (ii) revocation by the undersigned in a signed
writing delivered to the foregoing attorney-in-fact or (iii) until such
attorney-in-fact shall no longer be employed by the Company or serve as a member
of the Company's Board of Directors, as applicable.

     IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 3rd day of June, 2020.


                                       /s/ Fredric N. Eshelman


                                       ESHELMAN VENTURES, LLC


                                       By: /s/ Fredric N. Eshelman
                                       ----------------------------------
                                       Name: Fredric N. Eshelman
                                       Title: Managing Member