SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
ESHELMAN FREDRIC N

(Last) (First) (Middle)
C/O ARAVIVE, INC. RIVER OAKS TOWER,
3730 KIRBY DRIVE, SUITE 1200

(Street)
HOUSTON TX 77098

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/08/2020
3. Issuer Name and Ticker or Trading Symbol
Aravive, Inc. [ ARAV ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 931,098 I See footnote(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
ESHELMAN FREDRIC N

(Last) (First) (Middle)
C/O ARAVIVE, INC. RIVER OAKS TOWER,
3730 KIRBY DRIVE, SUITE 1200

(Street)
HOUSTON TX 77098

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Eshelman Ventures, LLC

(Last) (First) (Middle)
C/O ARAVIVE, INC. RIVER OAKS TOWER
3730 KIRBY DRIVE, SUITE 1200

(Street)
HOUSTON TX 77098

(City) (State) (Zip)
Explanation of Responses:
1. Eshelman Ventures, LLC is the record holder of the securities. Dr. Fredric Eshelman is the founder and principal of Eshelman Ventures, LLC and may be deemed to beneficially own the securities held by Eshelman Ventures, LLC. Dr. Eshelman disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
Remarks:
ESHELMAN VENTURES, LLC, By: /s/ Frederic N. Eshelman, Name: Frederic N. Eshelman, Title: Managing Member 04/10/2020
/s/ Fredric N. Eshelman 04/10/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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