Statement of Changes in Beneficial Ownership (4)
2022年9月13日 - 5:35AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
VEDANTA PARTNERS, LLC |
2. Issuer Name and Ticker or Trading Symbol
REVIVA PHARMACEUTICALS HOLDINGS, INC.
[
RVPH
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O VEDANTA MANAGEMENT LP, 250 WEST 55TH STREET, SUITE 13D |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/8/2022 |
(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Pre-Funded Warrant | $0.0001 | 9/8/2022 | | P | | 869565 | | (1) | (1) | Common Stock | 869565 | $2.5299 | 869565 | I | See Footnote (2) |
Pre-Funded Warrant | $0.0001 | 9/8/2022 | | P | | 513834 | | (1) | (1) | Common Stock | 513834 | $2.5299 | 513834 | I | See Footnote (3) |
Common Stock Warrant (right to buy) | $2.40 | 9/8/2022 | | P | | 869565 | | (4) | 9/8/2027 | Common Stock | 869565 | $0.0001 | 869565 | I | See Footnote (2) |
Common Stock Warrant (right to buy) | $2.40 | 9/8/2022 | | P | | 513834 | | (4) | 9/8/2027 | Common Stock | 513834 | $0.0001 | 513834 | I | See Footnote (3) |
Explanation of Responses: |
(1) | 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. |
(2) | 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. |
(3) | 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. |
(4) | 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
VEDANTA PARTNERS, LLC C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK, NY 10019 |
| X |
|
|
Vedanta Associates-R, LP C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK, NY 10019 |
| X |
|
|
VEDANTA ASSOCIATES, L.P. C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK, NY 10019 |
| X |
|
|
BETA OPERATORS FUND, L.P. C/O VEDANTA MANAGEMENT LP 250 WEST 55TH STREET, SUITE 13D NEW YORK, NY 10019 |
| X |
|
|
SAXENA PARAG 250 WEST 55TH STREET, SUITE 13D NEW YORK, NY 10019 |
| X |
|
|
Signatures
|
/s/ Parag Saxena - for Vedanta Partners, LLC, by Parag Saxena, its CEO | | 9/12/2022 |
**Signature of Reporting Person | Date |
/s/ Parag Saxena - for Vedanta Associates-R, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO | | 9/12/2022 |
**Signature of Reporting Person | Date |
/s/ Parag Saxena - for Vedanta Associates, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO | | 9/12/2022 |
**Signature of Reporting Person | Date |
/s/ Parag Saxena - for Beta Operators Fund, L.P., by Vedanta Associates, LP, its general partner, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO | | 9/12/2022 |
**Signature of Reporting Person | Date |
/s/ Parag Saxena | | 9/12/2022 |
**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 4(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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Reviva Pharmaceuticals (NASDAQ:RVPH)
過去 株価チャート
から 1 2025 まで 2 2025
Reviva Pharmaceuticals (NASDAQ:RVPH)
過去 株価チャート
から 2 2024 まで 2 2025