Giaccia Amato's Form 4 filing
Aravive, Inc. (ARAV) · filed Dec 2, 2021
- Accession no.
- 0001437749-21-027744
- Filed
- Dec 2, 2021, 7:28 PM ET
- Trade date
- Nov 30, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $10.4K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Giaccia AmatoCIK 0001753058 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2021 | Common Stock | MOption exerciseAcquired | +12,350 | $0.06 | +$741 | 954,230 | Direct | |
| Nov 30, 2021 | Common Stock | MOption exerciseAcquired | +38,761 | $0.24 | +$9,302.64 | 992,991 | Direct | |
| Nov 30, 2021 | Common Stock | MOption exerciseAcquired | +500 | $0.24 | +$120 | 993,491 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −252 | $3.22 | −$811.44 | 993,239 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −2,954 | $3.22 | −$9,511.88 | 990,285 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −39 | $3.22 | −$125.58 | 990,246 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2021 | Common Stock | MOption exerciseDisposed | −12,350 | $0.00 | $0 | 0 | Direct | |
| Nov 30, 2021 | Common Stock | MOption exerciseDisposed | −38,761 | $0.00 | $0 | 0 | Direct | |
| Nov 30, 2021 | Common Stock | MOption exerciseDisposed | −500 | $0.00 | $0 | 8,620 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.