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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:14pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported): February&nbsp;6, 2019 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Aravive, Inc. </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact
name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-36361</FONT></B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">26-4106690</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of incorporation)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>LyondellBasell Tower </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>1221 McKinney Street, Suite 3200 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Houston, Texas 77010 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address of principal executive offices, including zip code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(936) <FONT STYLE="white-space:nowrap">355-1910</FONT> </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s telephone number, including area code) </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to simultaneously satisfy the filing obligations of
the registrant under any of the following provisions: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167; 230.405 of this
chapter) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 (&#167; <FONT STYLE="white-space:nowrap">240.12b-2</FONT> of this chapter). </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Emerging growth company&nbsp;&#9746; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&nbsp;13(a) of the Exchange Act. &#9746; </P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;5.02.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers. </B></P></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><I>Approval of Amendment to Chief Executive Officer&#146;s Offer Letter </I></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On February&nbsp;6, 2019, the Compensation Committee (the &#147;Committee&#148;) of the Board of Directors of Aravive, Inc. (the &#147;Company&#148;) approved
an amendment (the &#147;Amendment&#148;) to the severance provisions of the offer letter entered into by Jay Shepard, the Company&#146;s Chief Executive Officer, on May&nbsp;12, 2015 (the &#147;Offer Letter&#148;) to increase the time period for
which (i)&nbsp;the Company will continue to pay his health insurance coverage under the Consolidated Omnibus Budget Reconciliation Act (&#147;COBRA&#148;) to eighteen months following his Separation (as defined in the Offer Letter) and (ii)&nbsp;he
can exercise any vested options to purchase shares of common stock to twelve months following his Separation from the Company. The foregoing summary of the Amendment is not intended to be complete and is qualified in its entirety by reference to the
full text of the Amendment, which is filed as Exhibit 10.1 to this Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> and is incorporated herein by reference. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><I>Chief Financial Officer Salary and Target Bonus Increase </I></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On February&nbsp;6, 2019, after consultation with an outside compensation consultant, the Committee approved an increase in the annual base salary of Vinay
Shah, the Company&#146;s Chief Financial Officer, to $335,000 and an increase in his target bonus to 40% of his base salary. Mr. Shah&#146;s employment is at-will per the terms of an offer letter with Aravive Biologics, Inc. dated February 1, 2017
as later amended on May 30, 2018 which provided for an annual base salary of $278,100 with an annual target bonus of 20% of his base salary.&nbsp;Mr. Shah also entered into severance letters with Aravive Biologics, Inc. that provide for twelve
months&#146; severance pay, twelve months payment of COBRA premiums and up to one year to exercise vested options if his employment is terminated within twelve months of the merger that was effected on October 12, 2018 (the &#147;Merger&#148;) due
to a Qualifying Termination (as defined in the severance letter). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The above descriptions of the employment related agreements for Mr.&nbsp;Shah do not
purport to be complete and are subject to and qualified in their entirety by reference to the copies of the employment related agreements for Mr.&nbsp;Shah included as Exhibits 10.2 and 10.3 to this Current Report on
<FONT STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> and which are incorporated herein by reference. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><I>Approval of Salary Increase Vice President /
Finance and Principal Accounting Officer </I></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On February&nbsp;6, 2019, after consultation with an outside compensation consultant, the Committee approved
an increase in the annual base salary of Kevin Haas, the Company&#146;s Vice President / Finance and Principal Accounting Officer, to $281,000. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><I>Appointment of Chief Scientific Officer </I></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On February 12,
2019, the Board of Directors of the Company appointed Dr. Gail McIntyre, the Company&#146;s Senior Vice President of Research and Development, to the position of Chief Scientific Officer of the Company. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Gail McIntyre, age 56, has served as the Company&#146;s Senior Vice President of Research and Development since October 2018 and previously served as Aravive
Biologics, Inc.&#146;s Senior Vice President of Research and Development since January 2017 and a consultant to Aravive Biologics, Inc. from August 2016 until January 2017.&nbsp;Dr. McIntyre also served as a principal at IntelliDev Consulting, LLC
providing consulting services to several biotechnology companies from January 2014 to January 2017, and served as VP of Development for Meryx, Inc from January 2014 until January 2016.&nbsp;Dr. McIntyre held the position of Senior Vice President of
Research at Furiex Pharmaceuticals, Inc. from April 1, 2010 until December 2014 and served as head of Pharmaceutical Product Development LLC&#146;s compound partnering business for 8 years prior to that. Dr. McIntyre has authored more than 30
regulatory submissions and is a board certified toxicologist with extensive experience in moving compounds through lead optimization and clinical development onto the market. Her experience covers multiple therapeutic areas including oncology
(including immune-oncology), infectious diseases, central nervous system, gastrointestinal, and metabolic/endocrine as well as various therapies including small drugs, treatment vaccines, antibodies, immunoconjugates and peptide mimetics. Dr.
McIntyre is also board certified in Clinical Pathology (hematology and clinical chemistry) by the American Society of Clinical Pathology. Dr. McIntyre received her B.A. in Biology from Merrimack College. She earned M.S. and Ph.D. degrees in
Biochemistry and Biophysics from the University of North Carolina at Chapel Hill. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Dr. McIntyre&#146;s employment is at-will per the terms of an offer
letter, dated&nbsp;January 1, 2017, by and between Aravive Biologics, Inc. and Dr.&nbsp;McIntyre. Dr.&nbsp;McIntyre began work as a full-time employee of Aravive Biologics, Inc. in January 2017 and was originally eligible to receive an annual salary
of $264,000 and a bonus targeted at $22,000 of her annual base salary. On February&nbsp;6, 2019, after consultation with an outside compensation consultant, the Committee approved an increase in Dr.&nbsp;McIntyre&#146;s annual base salary to
$325,000 and her target bonus was increased to 40% of her annual base salary. In connection with Dr. McIntyre&#146;s employment by Aravive Biologics, Inc., Dr. McIntyre was granted options to purchase shares of Aravive Biologics, Inc. common stock,
each of which were fully vested and were converted into options to purchase shares of Company common stock at the effective time of the Merger. Dr.&nbsp;McIntyre also entered into severance letters with Aravive Biologics, Inc. that provide for
twelve months&#146; severance pay, twelve months payment of COBRA premiums and up to one year to exercise vested options if her employment is terminated within twelve months of the Merger due to a Qualifying Termination (as defined in the severance
letter). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">There are no family relationships between Dr. McIntyre and any director or executive officer of the Company, and Dr. McIntyre has not had any
direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The above descriptions of the
employment related agreements for Dr. McIntyre do not purport to be complete and are subject to and qualified in their entirety by reference to the copies of the employment related agreements for Dr.&nbsp;McIntyre and included as Exhibits 10.4 and
10.5, to this Current Report on Form 8-K and which are incorporated herein by reference </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;9.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Financial Statements and Exhibits. </B></P></TD></TR></TABLE>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">(d)</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Exhibits </P></TD></TR></TABLE> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Exhibit&nbsp;No.</B></P></TD>
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<TD VALIGN="bottom" NOWRAP ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>10.1</TD>
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<TD VALIGN="top"><A HREF="d631905dex101.htm">Amendment to Jay Shepard Offer Letter dated as of February&nbsp;6, 2019 </A></TD></TR>
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<TD VALIGN="top" NOWRAP>10.2</TD>
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<TD VALIGN="top"><A HREF="d631905dex102.htm">Offer Letter dated February 1, 2017 and the amendment thereto dated May 30, 2018 by and between Aravive Biologics, Inc. and Vinay Shah </A></TD></TR>
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<TD VALIGN="top" NOWRAP>10.3</TD>
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<TD VALIGN="top"><A HREF="d631905dex103.htm">Severance Agreement dated May 31, 2018 and amendment thereto dated September 24, 2018 between Aravive Biologics, Inc. and Vinay Shah </A></TD></TR>
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<TD VALIGN="top" NOWRAP>10.4</TD>
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<TD VALIGN="top"><A HREF="d631905dex104.htm">Offer Letter dated January 1, 2017 by and between Aravive Biologics, Inc. and Gail McIntyre </A></TD></TR>
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<TD VALIGN="top" NOWRAP>10.5</TD>
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<TD VALIGN="top"><A HREF="d631905dex105.htm">Severance Agreement dated May 31, 2018 and amendment thereto dated September 24, 2018 between Aravive Biologics, Inc. and Gail McIntyre </A></TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURES </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>ARAVIVE, INC.</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman">(Registrant)</P></TD></TR>
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<TD VALIGN="top">Date: February&nbsp;12, 2019</TD>
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<TD VALIGN="top">By:</TD>
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<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Jay P. Shepard</P></TD></TR>
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<TD VALIGN="top">Name:</TD>
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<TD VALIGN="top">Jay P. Shepard</TD></TR>
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<TD VALIGN="bottom">&nbsp;</TD>
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<TD VALIGN="top">Title:</TD>
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<TD VALIGN="top">Chief Executive Officer</TD></TR>
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Form 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): February 6, 2019
Aravive, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
001-36361
26-4106690
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
LyondellBasell Tower
1221 McKinney Street, Suite 3200
Houston, Texas 77010
(Address of principal executive offices, including zip code)
(936)
355-1910
(Registrant's telephone number, including area code)
Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligations of
the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
☐
Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
☐
Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this
chapter) or Rule
12b-2
of the Securities Exchange Act of 1934 (§
240.12b-2
of this chapter).
Emerging growth company ☒
If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
Item 5.02.
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers.
Approval of Amendment to Chief Executive Officer's Offer Letter
On February 6, 2019, the Compensation Committee (the "Committee") of the Board of Directors of Aravive, Inc. (the "Company") approved
an amendment (the "Amendment") to the severance provisions of the offer letter entered into by Jay Shepard, the Company's Chief Executive Officer, on May 12, 2015 (the "Offer Letter") to increase the time period for
which (i) the Company will continue to pay his health insurance coverage under the Consolidated Omnibus Budget Reconciliation Act ("COBRA") to eighteen months following his Separation (as defined in the Offer Letter) and (ii) he
can exercise any vested options to purchase shares of common stock to twelve months following his Separation from the Company. The foregoing summary of the Amendment is not intended to be complete and is qualified in its entirety by reference to the
full text of the Amendment, which is filed as Exhibit 10.1 to this Current Report on Form
8-K
and is incorporated herein by reference.
Chief Financial Officer Salary and Target Bonus Increase
On February 6, 2019, after consultation with an outside compensation consultant, the Committee approved an increase in the annual base salary of Vinay
Shah, the Company's Chief Financial Officer, to $335,000 and an increase in his target bonus to 40% of his base salary. Mr. Shah's employment is at-will per the terms of an offer letter with Aravive Biologics, Inc. dated February 1, 2017
as later amended on May 30, 2018 which provided for an annual base salary of $278,100 with an annual target bonus of 20% of his base salary. Mr. Shah also entered into severance letters with Aravive Biologics, Inc. that provide for twelve
months' severance pay, twelve months payment of COBRA premiums and up to one year to exercise vested options if his employment is terminated within twelve months of the merger that was effected on October 12, 2018 (the "Merger") due
to a Qualifying Termination (as defined in the severance letter).
The above descriptions of the employment related agreements for Mr. Shah do not
purport to be complete and are subject to and qualified in their entirety by reference to the copies of the employment related agreements for Mr. Shah included as Exhibits 10.2 and 10.3 to this Current Report on
Form 8-K
and which are incorporated herein by reference.
Approval of Salary Increase Vice President /
Finance and Principal Accounting Officer
On February 6, 2019, after consultation with an outside compensation consultant, the Committee approved
an increase in the annual base salary of Kevin Haas, the Company's Vice President / Finance and Principal Accounting Officer, to $281,000.
Appointment of Chief Scientific Officer
On February 12,
2019, the Board of Directors of the Company appointed Dr. Gail McIntyre, the Company's Senior Vice President of Research and Development, to the position of Chief Scientific Officer of the Company.
Gail McIntyre, age 56, has served as the Company's Senior Vice President of Research and Development since October 2018 and previously served as Aravive
Biologics, Inc.'s Senior Vice President of Research and Development since January 2017 and a consultant to Aravive Biologics, Inc. from August 2016 until January 2017. Dr. McIntyre also served as a principal at IntelliDev Consulting, LLC
providing consulting services to several biotechnology companies from January 2014 to January 2017, and served as VP of Development for Meryx, Inc from January 2014 until January 2016. Dr. McIntyre held the position of Senior Vice President of
Research at Furiex Pharmaceuticals, Inc. from April 1, 2010 until December 2014 and served as head of Pharmaceutical Product Development LLC's compound partnering business for 8 years prior to that. Dr. McIntyre has authored more than 30
regulatory submissions and is a board certified toxicologist with extensive experience in moving compounds through lead optimization and clinical development onto the market. Her experience covers multiple therapeutic areas including oncology
(including immune-oncology), infectious diseases, central nervous system, gastrointestinal, and metabolic/endocrine as well as various therapies including small drugs, treatment vaccines, antibodies, immunoconjugates and peptide mimetics. Dr.
McIntyre is also board certified in Clinical Pathology (hematology and clinical chemistry) by the American Society of Clinical Pathology. Dr. McIntyre received her B.A. in Biology from Merrimack College. She earned M.S. and Ph.D. degrees in
Biochemistry and Biophysics from the University of North Carolina at Chapel Hill.
Dr. McIntyre's employment is at-will per the terms of an offer
letter, dated January 1, 2017, by and between Aravive Biologics, Inc. and Dr. McIntyre. Dr. McIntyre began work as a full-time employee of Aravive Biologics, Inc. in January 2017 and was originally eligible to receive an annual salary
of $264,000 and a bonus targeted at $22,000 of her annual base salary. On February 6, 2019, after consultation with an outside compensation consultant, the Committee approved an increase in Dr. McIntyre's annual base salary to
$325,000 and her target bonus was increased to 40% of her annual base salary. In connection with Dr. McIntyre's employment by Aravive Biologics, Inc., Dr. McIntyre was granted options to purchase shares of Aravive Biologics, Inc. common stock,
each of which were fully vested and were converted into options to purchase shares of Company common stock at the effective time of the Merger. Dr. McIntyre also entered into severance letters with Aravive Biologics, Inc. that provide for
twelve months' severance pay, twelve months payment of COBRA premiums and up to one year to exercise vested options if her employment is terminated within twelve months of the Merger due to a Qualifying Termination (as defined in the severance
letter).
There are no family relationships between Dr. McIntyre and any director or executive officer of the Company, and Dr. McIntyre has not had any
direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
The above descriptions of the
employment related agreements for Dr. McIntyre do not purport to be complete and are subject to and qualified in their entirety by reference to the copies of the employment related agreements for Dr. McIntyre and included as Exhibits 10.4 and
10.5, to this Current Report on Form 8-K and which are incorporated herein by reference
Item 9.01.
Financial Statements and Exhibits.
(d)
Exhibits
Exhibit No.
Description
10.1
Amendment to Jay Shepard Offer Letter dated as of February 6, 2019
10.2
Offer Letter dated February 1, 2017 and the amendment thereto dated May 30, 2018 by and between Aravive Biologics, Inc. and Vinay Shah
10.3
Severance Agreement dated May 31, 2018 and amendment thereto dated September 24, 2018 between Aravive Biologics, Inc. and Vinay Shah
10.4
Offer Letter dated January 1, 2017 by and between Aravive Biologics, Inc. and Gail McIntyre
10.5
Severance Agreement dated May 31, 2018 and amendment thereto dated September 24, 2018 between Aravive Biologics, Inc. and Gail McIntyre
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
ARAVIVE, INC.
(Registrant)
Date: February 12, 2019
By:
/s/ Jay P. Shepard
Name:
Jay P. Shepard
Title:
Chief Executive Officer