4//SEC Filing
SAXENA PARAG 4
Accession 0001104659-22-099268
CIK 0001742927other
Filed
Sep 11, 8:00 PM ET
Accepted
Sep 12, 4:34 PM ET
Size
21.1 KB
Accession
0001104659-22-099268
Insider Transaction Report
Form 4
VEDANTA PARTNERS, LLC
10% Owner
Transactions
- Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+513,834$1,299,949→ 513,834 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (513,834 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+869,565$2,199,912→ 869,565 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (869,565 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+869,565$87→ 869,565 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (869,565 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+513,834$51→ 513,834 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (513,834 underlying)
BETA OPERATORS FUND, L.P.
10% Owner
Transactions
- Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+513,834$1,299,949→ 513,834 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (513,834 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+513,834$51→ 513,834 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (513,834 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+869,565$2,199,912→ 869,565 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (869,565 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+869,565$87→ 869,565 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (869,565 underlying)
SAXENA PARAG
DirectorChairman of the Board10% Owner
Transactions
- Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+869,565$87→ 869,565 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (869,565 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+869,565$2,199,912→ 869,565 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (869,565 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+513,834$1,299,949→ 513,834 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (513,834 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+513,834$51→ 513,834 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (513,834 underlying)
VEDANTA ASSOCIATES, L.P.
10% Owner
Transactions
- Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+513,834$51→ 513,834 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (513,834 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+869,565$2,199,912→ 869,565 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (869,565 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+513,834$1,299,949→ 513,834 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (513,834 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+869,565$87→ 869,565 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (869,565 underlying)
Vedanta Associates-R, LP
10% Owner
Transactions
- Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+869,565$2,199,912→ 869,565 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (869,565 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+513,834$51→ 513,834 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (513,834 underlying) - Purchase
Pre-Funded Warrant
2022-09-08$2.53/sh+513,834$1,299,949→ 513,834 total(indirect: See Footnote)Exercise: $0.00→ Common Stock (513,834 underlying) - Purchase
Common Stock Warrant (right to buy)
2022-09-08$0.00/sh+869,565$87→ 869,565 total(indirect: See Footnote)Exercise: $2.40Exp: 2027-09-08→ Common Stock (869,565 underlying)
Footnotes (4)
- [F1]The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.
- [F2]Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of 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.
- [F3]Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners. Each of 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.
- [F4]The common stock warrants expire on September 8, 2027 and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.
Documents
Issuer
REVIVA PHARMACEUTICALS HOLDINGS, INC.
CIK 0001742927
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001015823
Filing Metadata
- Form type
- 4
- Filed
- Sep 11, 8:00 PM ET
- Accepted
- Sep 12, 4:34 PM ET
- Size
- 21.1 KB