person · Reporting owner
Eshelman Ventures, LLC
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aravive, Inc.ARAV · Entity 114535 | Director · 10% owner | October 24, 2022 | October 26, 2022 |
| G1 Therapeutics, Inc.GTHX · Entity 87413 | 10% owner | May 22, 2017 | May 24, 2017 |
| Liquidia Technologies IncLQDA · Entity 145051 | 10% owner | November 25, 2020 | November 27, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aravive, Inc.
Report date October 24, 2022 · Filed October 26, 2022
Jointly reported with ESHELMAN FREDRIC N
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 25,517,889 |
Reported balance
After 2022-10-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-10-24 · Grant · Acquired 16,306,120 · Balance 25,517,889 F1: 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. F2: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| Series A Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.79 | IndirectSee footnote | 8,153,060 |
Reported balance
After 2022-10-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-10-24 · Grant · Acquired 8,153,060 · Balance 8,153,060 F1: 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. F3: 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. F4: 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: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| Series B Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.79 | IndirectSee Footnote | 8,153,060 |
Reported balance
After 2022-10-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-10-24 · Grant · Acquired 8,153,060 · Balance 8,153,060 F1: 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. F5: 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. F2: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199.
F2: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F3: 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.
F4: 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.
F5: 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.
G1 Therapeutics, Inc.
Report date May 22, 2017 · Filed May 24, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,439,151 |
Last balance in matching sequence
After 2017-05-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-05-22 · Conversion · Acquired 3,139,151 · Balance 3,139,151 F1: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F2: 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. Row 2 · 2017-05-22 · Purchase · Acquired 300,000 · Balance 3,439,151 F3: Reflects shares Eshelman Ventures, LLC purchased in the initial public offering at the initial public offering price of $15.00 per share. F2: 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. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-05-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-05-22 · Conversion · Disposed 6,893,224 · Balance 0 F1: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F4: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2: 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-05-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-05-22 · Conversion · Disposed 2,524,233 · Balance 0 F1: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F4: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis.
F2: 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.
F3: Reflects shares Eshelman Ventures, LLC purchased in the initial public offering at the initial public offering price of $15.00 per share.
F4: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date.
Liquidia Technologies Inc
Report date November 25, 2020 · Filed November 27, 2020
Jointly reported with ESHELMAN FREDRIC N
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,570,569 |
Reported balance
After 2020-11-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-11-25 · Sale · Disposed 17,364 · Balance 6,570,569 F1: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectBy Fred Eshelman, manager of Eshelman Ventures, LLC | 175,573 |
Reported balance
Holding disclosure · report date 2020-11-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 175,573 |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Liquidia Corp
Report date January 26, 2021 · Filed January 27, 2021
Jointly reported with ESHELMAN FREDRIC N
Section 16 reporting ended · disclosed 2021-01-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,601,210 |
Reported balance
After 2021-01-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-26 · Sale · Disposed 1,762,162 · Balance 2,601,210 F1: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.3650. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectBy Fred Eshelman, manager of Eshelman Ventures, LLC | 175,573 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 175,573 |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.3650. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected.
F2: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 24, 2022 Filed Oct 26, 2022 17:00 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantSeries B Warrants (right to buy) · Derivative | 8,153,060 | Not disclosed Strike: $0.79 | Not disclosed |
DisclosureSEC source: 0001437749-22-024809 · rdgdoc.xml · derivative · entry 3 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,153,060 Underlying: Common stock · 8,153,060 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 Eshelman Ventures, LLC. 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. F5 · 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. F5 · 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. F2 · ownership.nature: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| October 24, 2022 Filed Oct 26, 2022 17:00 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantSeries A Warrants (right to buy) · Derivative | 8,153,060 | Not disclosed Strike: $0.79 | Not disclosed |
DisclosureSEC source: 0001437749-22-024809 · rdgdoc.xml · derivative · entry 2 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,153,060 Underlying: Common stock · 8,153,060 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 Eshelman Ventures, LLC. 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. F3 · 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. F4 · 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. F3 · 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. F2 · ownership.nature: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| October 24, 2022 Filed Oct 26, 2022 17:00 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantCommon Stock | 16,306,120 | $0.92 | $14,999,999.79 |
DisclosureSEC source: 0001437749-22-024809 · rdgdoc.xml · nonDerivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,517,889 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 Eshelman Ventures, LLC. The combined purchase price of each share of common stock and accompanying Warrants is $0.9199. F2 · ownership.nature: The shares of common stock and Warrants reported herein are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person, Dr. Fredric N. Eshelman. Dr. Eshelman is the Executive Chairman of the Company's Board of Directors and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 23, 2022 Filed Sep 26, 2022 16:07 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantStock Option (Right to Buy) · Derivative | 97,063 | $0.00 Strike: $0.92 | $0.00 |
DisclosureSEC source: 0001437749-22-023058 · rdgdoc.xml · derivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,063 Underlying: Common Stock · 97,063 shares Expires 2032-09-22 F1 · derivative.exercise_date: These options vest pro rata on a monthly basis commencing on October 23, 2022 for the next 12 months with full vesting, if not fully vested at such time, on the date of Aravive, Inc.'s next annual meeting of stockholders. Read SEC document |
| April 01, 2022 Filed Apr 4, 2022 16:17 UTC | Aravive, Inc. ARAV · Entity 114535 | Exercise / conversionPre-Funded Warrant (right to buy) · Derivative | 4,545,455 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-008178 · rdgdoc.xml · derivative · entry 2 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman of Board · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · 10% owner · See Footnote (1) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 4,545,455 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, the Pre-Funded Warrant was not exercisable until the Company obtained the Requisite Stockholder Approval (as defined below) and no shares issuable upon exercise of the Pre-Funded Warrant were to be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant was not exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3) F3 · kind: "Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule. Requisite Stockholder Approval was obtained on April 1, 2022 at a Special Meeting of the Company and Eshelman Ventures proceeded to exercise the Pre-Funded Warrant in full on such date. F2 · derivative.exercise_date: The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, the Pre-Funded Warrant was not exercisable until the Company obtained the Requisite Stockholder Approval (as defined below) and no shares issuable upon exercise of the Pre-Funded Warrant were to be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant was not exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3) F3 · derivative.exercise_date: "Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule. Requisite Stockholder Approval was obtained on April 1, 2022 at a Special Meeting of the Company and Eshelman Ventures proceeded to exercise the Pre-Funded Warrant in full on such date. F2 · derivative.expiration_date: The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, the Pre-Funded Warrant was not exercisable until the Company obtained the Requisite Stockholder Approval (as defined below) and no shares issuable upon exercise of the Pre-Funded Warrant were to be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant was not exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3) F3 · derivative.expiration_date: "Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule. Requisite Stockholder Approval was obtained on April 1, 2022 at a Special Meeting of the Company and Eshelman Ventures proceeded to exercise the Pre-Funded Warrant in full on such date. F1 · ownership.nature: The shares of common stock of Aravive, Inc. (the "Company") are owned, and the exercised pre-funded warrants were owned, directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2022 Filed Apr 4, 2022 16:17 UTC | Aravive, Inc. ARAV · Entity 114535 | Exercise / conversionCommon Stock | 4,545,455 | $0.00 | $454.55 |
DisclosureSEC source: 0001437749-22-008178 · rdgdoc.xml · nonDerivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman of Board · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · 10% owner · See Footnote (1) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 9,211,769 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The shares of common stock of Aravive, Inc. (the "Company") are owned, and the exercised pre-funded warrants were owned, directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 16:06 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantWarrant (right to buy) · Derivative | 860,216 | $2.20 Strike: $2.20 | $1,892,475.20 |
DisclosureSEC source: 0001437749-22-007849 · rdgdoc.xml · derivative · entry 2 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman of Board · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 860,216 Underlying: Common Stock · 860,216 shares Expires not disclosed F1 · kind: The shares of common stock and Warrant to purchase shares of common stock of Aravive, Inc. (the "Company") are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. F2 · kind: The Warrant will be exercisable immediately and will expire on the five-year anniversary of the date of issuance; however, the Warrants will not be exercisable until the occurrence of certain events and will expire on the five- year anniversary of the date of exercisability. F2 · derivative.exercise_date: The Warrant will be exercisable immediately and will expire on the five-year anniversary of the date of issuance; however, the Warrants will not be exercisable until the occurrence of certain events and will expire on the five- year anniversary of the date of exercisability. F2 · derivative.expiration_date: The Warrant will be exercisable immediately and will expire on the five-year anniversary of the date of issuance; however, the Warrants will not be exercisable until the occurrence of certain events and will expire on the five- year anniversary of the date of exercisability. F1 · ownership.nature: The shares of common stock and Warrant to purchase shares of common stock of Aravive, Inc. (the "Company") are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 16:06 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantCommon Stock | 860,216 | $2.33 | $2,000,002.20 |
DisclosureSEC source: 0001437749-22-007849 · rdgdoc.xml · nonDerivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman of Board · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 4,666,314 F1 · ownership.direct: The shares of common stock and Warrant to purchase shares of common stock of Aravive, Inc. (the "Company") are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 16:53 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantPre-Funded Warrant (right to buy) · Derivative | 4,545,455 | $2.20 Strike: $0.00 | $10,000,001.00 |
DisclosureSEC source: 0001437749-22-000442 · rdgdoc.xml · derivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · Executive Chairman of Board · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,545,455 Underlying: Common Stock · 4,545,455 shares Expires not disclosed F1 · kind: The Pre-Funded Warrant to purchase shares of common stock of Aravive, Inc. (the "Company") are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. F2 · kind: The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, until the Company obtains the Requisite Stockholder Approval (as defined below), no shares issuable upon exercise of the Pre-Funded Warrant will be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant will not be exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3) F3 · kind: "Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule. F2 · derivative.exercise_date: The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, until the Company obtains the Requisite Stockholder Approval (as defined below), no shares issuable upon exercise of the Pre-Funded Warrant will be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant will not be exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3) F3 · derivative.exercise_date: "Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule. F2 · derivative.expiration_date: The Pre-Funded Warrant expires when it is fully exercised and is exercisable immediately. Notwithstanding the foregoing, until the Company obtains the Requisite Stockholder Approval (as defined below), no shares issuable upon exercise of the Pre-Funded Warrant will be issued or delivered upon any proposed exercise of the Pre-Funded Warrant, and the Pre-Funded Warrant will not be exercisable to the extent that such issuance, delivery, exercise or exercisability would result in Eshelman Ventures, LLC or a "person" or "group" (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended) beneficially owning in excess of 19.99% of the then-outstanding shares of the Company's common stock. (continued to footnote 3) F3 · derivative.expiration_date: "Requisite Stockholder Approval" means the stockholder approval contemplated by Rule 5635 of the Nasdaq Stock Market listing rules with respect to the issuance of the shares of the Company's common stock issuable upon exercise of the Pre-Funded Warrant in excess of the limitations imposed by such rule. F1 · ownership.nature: The Pre-Funded Warrant to purchase shares of common stock of Aravive, Inc. (the "Company") are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the Reporting Person. The Reporting Person, Dr. Fredric Eshelman, who is the Executive Chairman of the Company's Board of Directors, disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 10, 2021 Filed Sep 13, 2021 17:12 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantStock Option · Derivative | 22,812 | $0.00 Strike: $3.97 | $0.00 |
DisclosureSEC source: 0001437749-21-022039 · rdgdoc.xml · derivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,812 Underlying: Common Stock · 22,812 shares Expires 2031-09-09 F1 · derivative.exercise_date: These options vest pro rata on a monthly basis commencing on October 10, 2021 for the next 12 months with full vesting, if not fully vested at such time, on the date of Aravive, Inc.'s next annual meeting of stockholders. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 18:46 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantCommon stock | 2,875,000 | $7.29 | $20,958,750.00 |
DisclosureSEC source: 0000899243-21-006977 · doc4.xml · nonDerivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director · 10% owner Eshelman Ventures, LLC · CIK 0001706673 · 10% owner · See Footnote (1) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,806,098 F1 · ownership.nature: These shares of Aravive, Inc. common stock are owned directly by Eshelman Ventures, LLC, an entity wholly owned by the reporting person. The reporting person, Dr. Fredric Eshelman, is also the Chairman of the Board of Directors of Aravive, Inc. Read SEC document |
| January 26, 2021 Filed Jan 27, 2021 16:32 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 1,762,162 | $3.12 | $5,502,527.06 |
DisclosureSEC source: 0001578563-21-000008 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,601,210 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.3650. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 25, 2021 Filed Jan 26, 2021 17:27 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 719,287 | $2.97 | $2,139,015.68 |
DisclosureSEC source: 0001578563-21-000007 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,363,372 F3 · price: This transaction was executed in multiple trades at prices ranging from $2.90 to $3.05. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 17:27 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 500,000 | $2.95 | $1,473,300.00 |
DisclosureSEC source: 0001578563-21-000007 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,082,659 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.90 to $3.01. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 21, 2021 Filed Jan 22, 2021 16:20 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 328,250 | $2.96 | $972,079.55 |
DisclosureSEC source: 0001578563-21-000006 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,582,659 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.90 to $3.01. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 20, 2021 Filed Jan 21, 2021 17:04 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 53,405 | $2.95 | $157,769.05 |
DisclosureSEC source: 0001578563-21-000005 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,910,909 F3 · price: This transaction was executed in multiple trades at prices ranging from $2.95 to $2.99. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 19, 2021 Filed Jan 21, 2021 17:04 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 93,835 | $2.97 | $279,027.76 |
DisclosureSEC source: 0001578563-21-000005 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,964,314 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.95 to $3.01. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 15, 2021 Filed Jan 19, 2021 17:20 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 27,000 | $3.01 | $81,251.10 |
DisclosureSEC source: 0001578563-21-000004 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,058,149 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.00 to $3.03. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 14, 2021 Filed Jan 15, 2021 17:44 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 34,466 | $3.02 | $103,918.44 |
DisclosureSEC source: 0001578563-21-000003 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,085,149 F3 · price: This transaction was executed in multiple trades at prices ranging from $3.00 to $3.04. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 13, 2021 Filed Jan 15, 2021 17:44 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 3,393 | $3.07 | $10,416.17 |
DisclosureSEC source: 0001578563-21-000003 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,119,615 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.05 to $3.07. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 12, 2021 Filed Jan 13, 2021 18:00 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 99,335 | $3.06 | $304,402.17 |
DisclosureSEC source: 0001578563-21-000002 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,123,008 F3 · price: This transaction was executed in multiple trades at prices ranging from $3.05 to $3.12. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 18:00 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 13,524 | $3.05 | $41,249.55 |
DisclosureSEC source: 0001578563-21-000002 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,222,343 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.05 to $3.055. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 08, 2021 Filed Jan 11, 2021 17:50 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 71,902 | $3.08 | $221,508.49 |
DisclosureSEC source: 0001578563-21-000001 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,235,867 F3 · price: This transaction was executed in multiple trades at prices ranging from $3.05 to $3.105. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| January 07, 2021 Filed Jan 11, 2021 17:50 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 142,819 | $3.12 | $445,638.13 |
DisclosureSEC source: 0001578563-21-000001 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,307,769 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.05 to $3.205. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| December 22, 2020 Filed Dec 28, 2020 17:20 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 7,949 | $3.14 | $24,959.86 |
DisclosureSEC source: 0001578563-20-000039 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,450,588 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.13 to $3.15. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| December 21, 2020 Filed Dec 22, 2020 19:08 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 51,906 | $3.13 | $162,465.78 |
DisclosureSEC source: 0001578563-20-000038 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,458,537 F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 19:08 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 53,309 | $3.14 | $167,470.22 |
DisclosureSEC source: 0001578563-20-000038 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,510,443 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.13 to $3.165. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 17:11 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 6,417 | $3.13 | $20,085.21 |
DisclosureSEC source: 0001578563-20-000036 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,563,752 F1 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 30, 2020 Filed Dec 1, 2020 20:56 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 200 | $3.13 | $626.00 |
DisclosureSEC source: 0001578563-20-000035 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,570,169 F1 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 27, 2020 Filed Dec 1, 2020 20:56 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 200 | $3.13 | $626.00 |
DisclosureSEC source: 0001578563-20-000035 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,570,369 F1 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 25, 2020 Filed Nov 27, 2020 16:05 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | SaleCommon Stock | 17,364 | $3.13 | $54,349.32 |
DisclosureSEC source: 0000899243-20-032256 · doc4.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,570,569 F1 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 25, 2020 Filed Dec 1, 2020 20:34 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 17,364 | $3.13 | $54,349.32 |
DisclosureSEC source: 0001578563-20-000034 · primary_doc.xml · nonDerivative · entry 4 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,570,569 F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 16:05 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | SaleCommon Stock | 283,465 | $3.15 | $894,247.04 |
DisclosureSEC source: 0000899243-20-032152 · doc4.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,587,933 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.13 to $3.235. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 24, 2020 Filed Dec 1, 2020 20:34 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 283,465 | $3.15 | $894,247.04 |
DisclosureSEC source: 0001578563-20-000034 · primary_doc.xml · nonDerivative · entry 3 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,587,933 F4 · price: This transaction was executed in multiple trades at prices ranging from $3.13 to $3.235. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 23, 2020 Filed Nov 24, 2020 16:05 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | SaleCommon Stock | 133,346 | $3.16 | $421,346.69 |
DisclosureSEC source: 0000899243-20-032032 · doc4.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,871,398 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.12 to $3.26. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 23, 2020 Filed Dec 1, 2020 20:34 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 133,346 | $3.16 | $421,346.69 |
DisclosureSEC source: 0001578563-20-000034 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,871,398 F3 · price: This transaction was executed in multiple trades at prices ranging from $3.12 to $3.26. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 17:05 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | Disposition to issuerCommon Stock | 30,000 | $3.35 | $100,500.00 |
DisclosureSEC source: 0000899243-20-031810 · doc4.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,004,744 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.28 to $3.42. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| November 19, 2020 Filed Dec 1, 2020 20:34 UTC | Liquidia Corp LQDA · Entity 1860 | SaleCommon Stock | 30,000 | $3.35 | $100,500.00 |
DisclosureSEC source: 0001578563-20-000034 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,004,744 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.28 to $3.42. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| September 14, 2020 Filed Sep 15, 2020 16:49 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantStock Option · Derivative | 16,029 | $0.00 Strike: $5.63 | $0.00 |
DisclosureSEC source: 0000899243-20-025114 · doc4.xml · derivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director Eshelman Ventures, LLC · CIK 0001706673 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,029 Underlying: Common Stock · 16,029 shares Expires 2030-09-13 F1 · derivative.exercise_date: These options vest pro rata on a monthly basis commencing on October 14, 2020 for the next 12 months with full vesting, if not fully vested at such time, on the date of Aravive, Inc.'s next annual meeting of stockholders. Read SEC document |
| July 02, 2020 Filed Jul 2, 2020 19:31 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 1,875,000 | $8.00 | $15,000,000.00 |
DisclosureSEC source: 0001578563-20-000025 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,034,744 F1 · kind: These shares of Common Stock, $0.001 par value per share (the "Shares"), were purchased directly from the underwriters in an underwritten public offering conducted by the Issuer on July 2, 2020 (the "Offering"). Pursuant to the Offering, the Reporting Person agreed to purchase the Shares at a public offering price of $8.00 per share. The Issuer's Rule 424(b)(5) prospectus supplement (File No. 333-233438) in connection with the Offering was filed with the Securities and Exchange Commission on July 2, 2020. F1 · price: These shares of Common Stock, $0.001 par value per share (the "Shares"), were purchased directly from the underwriters in an underwritten public offering conducted by the Issuer on July 2, 2020 (the "Offering"). Pursuant to the Offering, the Reporting Person agreed to purchase the Shares at a public offering price of $8.00 per share. The Issuer's Rule 424(b)(5) prospectus supplement (File No. 333-233438) in connection with the Offering was filed with the Securities and Exchange Commission on July 2, 2020. F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by Dr. Eshelman, who is the manager of the Reporting Person. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 16:06 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantStock Option · Derivative | 3,226 | $0.00 Strike: $12.72 | $0.00 |
DisclosureSEC source: 0000899243-20-015044 · doc4.xml · derivative · entry 2 ESHELMAN FREDRIC N · CIK 0001033409 · Director Eshelman Ventures, LLC · CIK 0001706673 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,226 Underlying: Common stock · 3,226 shares Expires 2030-05-31 F2 · shares: These options vest as follows; (i) 1,110 shares vest immediately and (ii) 529 shares vest on a monthly basis over next four (4) months commencing June 19, 2020 with full vesting, if not fully vested at such time, on the date of Aravive's next annual meeting of stockholders. F2 · derivative.exercise_date: These options vest as follows; (i) 1,110 shares vest immediately and (ii) 529 shares vest on a monthly basis over next four (4) months commencing June 19, 2020 with full vesting, if not fully vested at such time, on the date of Aravive's next annual meeting of stockholders. F2 · derivative.underlying_shares: These options vest as follows; (i) 1,110 shares vest immediately and (ii) 529 shares vest on a monthly basis over next four (4) months commencing June 19, 2020 with full vesting, if not fully vested at such time, on the date of Aravive's next annual meeting of stockholders. F2 · balance_after: These options vest as follows; (i) 1,110 shares vest immediately and (ii) 529 shares vest on a monthly basis over next four (4) months commencing June 19, 2020 with full vesting, if not fully vested at such time, on the date of Aravive's next annual meeting of stockholders. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 16:06 UTC | Aravive, Inc. ARAV · Entity 114535 | GrantStock Option · Derivative | 7,500 | $0.00 Strike: $12.72 | $0.00 |
DisclosureSEC source: 0000899243-20-015044 · doc4.xml · derivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director Eshelman Ventures, LLC · CIK 0001706673 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common stock · 7,500 shares Expires 2030-05-31 F1 · shares: These options vest as follows: (i) 417 shares vest immediately upon grant and (ii) the remaining balance options vest pro rata on a monthly basis over the next thirty-four (34) months. F1 · derivative.exercise_date: These options vest as follows: (i) 417 shares vest immediately upon grant and (ii) the remaining balance options vest pro rata on a monthly basis over the next thirty-four (34) months. F1 · derivative.underlying_shares: These options vest as follows: (i) 417 shares vest immediately upon grant and (ii) the remaining balance options vest pro rata on a monthly basis over the next thirty-four (34) months. F1 · balance_after: These options vest as follows: (i) 417 shares vest immediately upon grant and (ii) the remaining balance options vest pro rata on a monthly basis over the next thirty-four (34) months. Read SEC document |
| April 06, 2020 Filed Apr 7, 2020 17:18 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 44,250 | $5.28 | $233,715.23 |
DisclosureSEC source: 0001578563-20-000013 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fred Eshelman, manager of Eshelman Ventures, LLC Disclosed balance after: 175,573 F2 · price: This transaction was executed in multiple trades at prices ranging from $5.12 to $5.50. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 17:18 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 35,000 | $4.85 | $169,739.50 |
DisclosureSEC source: 0001578563-20-000013 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fred Eshelman, manager of Eshelman Ventures, LLC Disclosed balance after: 131,323 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.45 to $5.20. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. Read SEC document |
| April 02, 2020 Filed Apr 3, 2020 17:40 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 7,223 | $4.96 | $35,792.13 |
DisclosureSEC source: 0001578563-20-000011 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fred Eshelman, manager of Eshelman Ventures, LLC Disclosed balance after: 96,323 F2 · price: This transaction was executed in multiple trades at prices ranging from $4.91 to $4.99. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 17:40 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 45,000 | $4.89 | $220,122.00 |
DisclosureSEC source: 0001578563-20-000011 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fred Eshelman, manager of Eshelman Ventures, LLC Disclosed balance after: 89,100 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.64 to $4.98. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. Read SEC document |
| March 31, 2020 Filed Apr 1, 2020 17:35 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 30,000 | $4.87 | $146,112.00 |
DisclosureSEC source: 0001578563-20-000007 · primary_doc.xml · nonDerivative · entry 2 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fred Eshelman, manager of Eshelman Ventures, LLC Disclosed balance after: 44,100 F2 · price: This transaction was executed in multiple trades at prices ranging from $4.64 to $4.96. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. Read SEC document |
| March 30, 2020 Filed Apr 1, 2020 17:35 UTC | Liquidia Technologies Inc LQDA · Entity 145051 | PurchaseCommon Stock | 14,100 | $4.76 | $67,106.13 |
DisclosureSEC source: 0001578563-20-000007 · primary_doc.xml · nonDerivative · entry 1 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fred Eshelman, manager of Eshelman Ventures, LLC Disclosed balance after: 14,100 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.51 to $4.79. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:29 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries C Preferred Stock · Derivative | 2,524,233 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035176 · doc4.xml · derivative · entry 4 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 841,411 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F4 · derivative.exercise_date: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F4 · derivative.expiration_date: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.direct: 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. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:29 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries B Preferred Stock · Derivative | 6,893,224 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035176 · doc4.xml · derivative · entry 3 Eshelman Ventures, LLC · CIK 0001706673 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,297,740 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and the Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F4 · derivative.exercise_date: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F4 · derivative.expiration_date: The Series B Preferred Stock and the Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.direct: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.