Eshelman Ventures, LLC

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.

SEC 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.