HOWARD RUDY

SEC source: 0001437749-23-002372 · rdgdoc.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2033-01-31

F1 · shares: These options vest over three years with 50% vesting on the one-year anniversary of the date of grant and the remaining 50% vesting on a pro rata basis on a monthly basis over a two-year period commencing on the month following the one-year anniversary of the grant date.

F1 · derivative.exercise_date: These options vest over three years with 50% vesting on the one-year anniversary of the date of grant and the remaining 50% vesting on a pro rata basis on a monthly basis over a two-year period commencing on the month following the one-year anniversary of the grant date.

F1 · derivative.expiration_date: These options vest over three years with 50% vesting on the one-year anniversary of the date of grant and the remaining 50% vesting on a pro rata basis on a monthly basis over a two-year period commencing on the month following the one-year anniversary of the grant date.

SEC source: 0001437749-22-024814 · rdgdoc.xml · derivative · entry 3

HOWARD RUDY · CIK 0001108161 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,435

Underlying: Common stock · 5,435 shares

Expires not disclosed

F1 · shares: 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.

F1 · price: 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

SEC source: 0001437749-22-024814 · rdgdoc.xml · derivative · entry 2

HOWARD RUDY · CIK 0001108161 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,435

Underlying: Common stock · 5,435 shares

Expires not disclosed

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F3 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-22-024814 · rdgdoc.xml · nonDerivative · entry 1

HOWARD RUDY · CIK 0001108161 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,870

F1 · price: 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.

SEC source: 0001437749-22-014295 · rdgdoc.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,000

Underlying: Common Stock · 290,000 shares

Expires 2032-06-02

F1 · shares: 25% of the shares underlying the option vest on the 12 month anniversary of the grant date and the remaining 75% vest in equal monthly installments over the next 36 months of continuous service.

F1 · derivative.exercise_date: 25% of the shares underlying the option vest on the 12 month anniversary of the grant date and the remaining 75% vest in equal monthly installments over the next 36 months of continuous service.

SEC source: 0001562180-20-007126 · primarydocument.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,914

Underlying: Class A Common Stock · 250,000 shares

Expires 2030-12-07

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on December 7, 2021.

SEC source: 0000899243-19-019108 · doc4.xml · derivative · entry 2

HOWARD RUDY · CIK 0001108161 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,470 shares

Expires not disclosed

F1 · derivative.exercise_price: On May 12, 2019, Amber Road, Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Eagle Parent Holdings, LLC, a Delaware limited liability company ("Parent"), Chicago Merger Sub, Inc., a Delaware corporation and indirect wholly-owned subsidiary of Parent ("Purchaser"), and E2open, LLC ("E2open"), solely for purposes of Section 9.17 of the Merger Agreement. Under the terms of the Merger Agreement, Purchaser commenced a cash tender offer (the "Offer") to purchase all of the issued and outstanding shares of the Company common stock, $0.001 par value per share (the "Shares"), at a purchase price of $13.05 per Share (the "Offer Price"), net to the holder thereof in cash, without interest thereon and less any applicable withholding taxes.

F2 · derivative.exercise_price: (Continued from footnote 1) The Offer expired as scheduled at one minute after 11:59 p.m. Eastern Time on July 1, 2019. All conditions to the Offer having been satisfied, the Purchaser accepted for payment all Shares that were validly tendered and not withdrawn in accordance with the terms of the Offer.

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, each restricted stock unit granted pursuant to any Company Equity Plan (as defined in the Merger Agreement) that vests solely based on time and was outstanding immediately prior to the Effective Time (each, a "Company RSU") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the Offer Price, multiplied by (ii) the total number of shares subject to such Company RSU, less any required withholding taxes (the "RSU Consideration").

F4 · price: Pursuant to the Merger Agreement, each restricted stock unit granted pursuant to any Company Equity Plan (as defined in the Merger Agreement) that vests solely based on time and was outstanding immediately prior to the Effective Time (each, a "Company RSU") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the Offer Price, multiplied by (ii) the total number of shares subject to such Company RSU, less any required withholding taxes (the "RSU Consideration").

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, each restricted stock unit granted pursuant to any Company Equity Plan (as defined in the Merger Agreement) that vests solely based on time and was outstanding immediately prior to the Effective Time (each, a "Company RSU") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the Offer Price, multiplied by (ii) the total number of shares subject to such Company RSU, less any required withholding taxes (the "RSU Consideration").

F4 · derivative.expiration_date: Pursuant to the Merger Agreement, each restricted stock unit granted pursuant to any Company Equity Plan (as defined in the Merger Agreement) that vests solely based on time and was outstanding immediately prior to the Effective Time (each, a "Company RSU") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the Offer Price, multiplied by (ii) the total number of shares subject to such Company RSU, less any required withholding taxes (the "RSU Consideration").

SEC source: 0000899243-19-019108 · doc4.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,160 shares

Expires not disclosed

F1 · derivative.exercise_price: On May 12, 2019, Amber Road, Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Eagle Parent Holdings, LLC, a Delaware limited liability company ("Parent"), Chicago Merger Sub, Inc., a Delaware corporation and indirect wholly-owned subsidiary of Parent ("Purchaser"), and E2open, LLC ("E2open"), solely for purposes of Section 9.17 of the Merger Agreement. Under the terms of the Merger Agreement, Purchaser commenced a cash tender offer (the "Offer") to purchase all of the issued and outstanding shares of the Company common stock, $0.001 par value per share (the "Shares"), at a purchase price of $13.05 per Share (the "Offer Price"), net to the holder thereof in cash, without interest thereon and less any applicable withholding taxes.

F2 · derivative.exercise_price: (Continued from footnote 1) The Offer expired as scheduled at one minute after 11:59 p.m. Eastern Time on July 1, 2019. All conditions to the Offer having been satisfied, the Purchaser accepted for payment all Shares that were validly tendered and not withdrawn in accordance with the terms of the Offer.

F3 · derivative.exercise_price: Pursuant to the Merger Agreement, each option to purchase shares (each, a "Company Option"), whether vested or unvested , that was outstanding and unexercised immediately prior to the effective time of the Merger (the "Effective Time") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share under such Company Option, less any required withholding taxes. The consideration payable in respect of unvested Company Options (subject to certain exceptions) will be subject to the satisfaction of the original vesting conditions applicable to such unvested Company Options.

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares (each, a "Company Option"), whether vested or unvested , that was outstanding and unexercised immediately prior to the effective time of the Merger (the "Effective Time") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share under such Company Option, less any required withholding taxes. The consideration payable in respect of unvested Company Options (subject to certain exceptions) will be subject to the satisfaction of the original vesting conditions applicable to such unvested Company Options.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares (each, a "Company Option"), whether vested or unvested , that was outstanding and unexercised immediately prior to the effective time of the Merger (the "Effective Time") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share under such Company Option, less any required withholding taxes. The consideration payable in respect of unvested Company Options (subject to certain exceptions) will be subject to the satisfaction of the original vesting conditions applicable to such unvested Company Options.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares (each, a "Company Option"), whether vested or unvested , that was outstanding and unexercised immediately prior to the effective time of the Merger (the "Effective Time") was cancelled and converted into the right to receive cash in an amount equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share under such Company Option, less any required withholding taxes. The consideration payable in respect of unvested Company Options (subject to certain exceptions) will be subject to the satisfaction of the original vesting conditions applicable to such unvested Company Options.

SEC source: 0001562180-19-001843 · primarydocument.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,914

Underlying: Class A Common Stock · 125,000 shares

Expires 2029-03-07

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 7, 2020.

SEC source: 0001628280-18-006865 · wf-form4_152650420324289.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,595

Underlying: Common Stock · 9,595 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock of the registrant.

F2 · kind: On May 15, 2018, the reporting person was granted 9,595 RSUs as an Annual Restricted Stock Unit Award pursuant to the registrant's Non-Employee Directors Compensation Policy.

F3 · derivative.exercise_date: The RSUs represent a one-time award received by non-employee members of the Board of Directors of the registrant ("Board"). The RSU will vest on the earlier of (i) the first anniversary of the grant date of such RSU, (ii) the date of the director's death, or (iii) upon a Change of Control of the registrant, as defined in the related RSU agreement ("Vesting Date"), provided that the non-employee director has remained in continuous service as a member of the Board until the Vesting Date.

F3 · derivative.expiration_date: The RSUs represent a one-time award received by non-employee members of the Board of Directors of the registrant ("Board"). The RSU will vest on the earlier of (i) the first anniversary of the grant date of such RSU, (ii) the date of the director's death, or (iii) upon a Change of Control of the registrant, as defined in the related RSU agreement ("Vesting Date"), provided that the non-employee director has remained in continuous service as a member of the Board until the Vesting Date.

SEC source: 0001628280-17-008444 · wf-form4_150230547512069.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,804

Underlying: Common Stock · 10,804 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock of the registrant.

F2 · derivative.exercise_date: The RSUs represent a one-time award received by non-employee members of the Board of Directors of the registrant ("Board"). Each RSU will vest on the earlier of (i) the first anniversary of the grant date of such RSU, (ii) the date of the director's death, or (iii) upon a Change of Control of the registrant, as defined in the related RSU agreement (the "Vesting Date"), provided that the non-employee director has remained in continuous service as a member of the Board until the Vesting Date. The director will forfeit 100% of the RSUs upon the director's separation from the registrant prior to the Vesting Date. The registrant will not deliver the shares underlying the RSUs until the earlier of the director's separation from the registrant or a Change of Control.

F2 · derivative.expiration_date: The RSUs represent a one-time award received by non-employee members of the Board of Directors of the registrant ("Board"). Each RSU will vest on the earlier of (i) the first anniversary of the grant date of such RSU, (ii) the date of the director's death, or (iii) upon a Change of Control of the registrant, as defined in the related RSU agreement (the "Vesting Date"), provided that the non-employee director has remained in continuous service as a member of the Board until the Vesting Date. The director will forfeit 100% of the RSUs upon the director's separation from the registrant prior to the Vesting Date. The registrant will not deliver the shares underlying the RSUs until the earlier of the director's separation from the registrant or a Change of Control.

SEC source: 0001562180-17-001255 · primarydocument.xml · derivative · entry 1

HOWARD RUDY · CIK 0001108161 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,914

Underlying: Class A Common Stock · 105,070 shares

Expires 2027-03-10

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 10, 2018.