0001437749-22-024810.txt : 20221026 0001437749-22-024810.hdr.sgml : 20221026 20221026170045 ACCESSION NUMBER: 0001437749-22-024810 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221024 FILED AS OF DATE: 20221026 DATE AS OF CHANGE: 20221026 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ho Peter Tai-Ching CENTRAL INDEX KEY: 0001619052 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36361 FILM NUMBER: 221333922 MAIL ADDRESS: STREET 1: C/O EPIZYME, INC. STREET 2: 400 TECHNOLOGY SQUARE, 4TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 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 rdgdoc.xml FORM 4 X0306 4 2022-10-24 0001513818 Aravive, Inc. ARAV 0001619052 Ho Peter Tai-Ching C/O ARAVIVE, INC., RIVER OAKS TOWER, 3730 KIRBY DRIVE, SUITE 1200 HOUSTON TX 77098 1 Common stock 2022-10-24 4 A 0 54353 0.9199 A 55353 D Series A Warrants (right to buy) 0.7949 2022-10-24 4 A 0 27177 A Common stock 27177 27177 D Series B Warrants (right to buy) 0.7949 2022-10-24 4 A 0 27176 A Common stock 27176 27176 D On October 24, 2022, Aravive, Inc. (the "Company") agreed to issue approximately $41.5 million of securities including shares of its common stock and warrants (the "Warrants") to purchase shares of common stock in a private placement transaction (the "Private Placement") to certain investors, including the reporting person. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. The Series A Warrants are exercisable at any time after the Authorized Share Increase (as defined below) and will expire on the date that is the later of (i) fifteen (15) months after the date of the Authorized Share Increase, or (ii) one (1) month after public announcement by or on behalf of the Company of the publication of top line data from the Company's Phase 3 trial of batiraxcept in platinum-resistant ovarian cancer. In connection with the Private Placement, the Company has agreed to convene a special meeting of its stockholders or to seek written consent of the stockholders no later than 120 days following the closing of the Private Placement to seek approval of an increase in the number of the Company's authorized shares of common stock pursuant to an amendment to the Company's Certificate of Incorporation (such increase, the "Authorized Share Increase") to allow for full sufficient authorized and unissued shares of common stock for the full exercise of all of the Warrants and the shares of common stock issuable upon exercise thereof. The Series B Warrants are exercisable at any time after the Authorized Share Increase and will expire thirty (30) months after the Authorized Share Increase. /s/ Abel Svitavsky, Attorney-in-fact 2022-10-26