SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
VEDANTA PARTNERS, LLC

(Last) (First) (Middle)
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
REVIVA PHARMACEUTICALS HOLDINGS, INC. [ RVPH ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
06/01/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/01/2021 P 931,000 A $3.75(1) 931,000 I See Footnotes(2)(6)
Common Stock 06/01/2021 P 399,000 A $3.75(1) 399,000 I See Footnotes(3)(7)
Common Stock 99,539 I See Footnotes(4)(7)
Common Stock 871,337 I See Footnote(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants (right to buy) $4.125 06/01/2021 P 931,000 06/01/2021 06/01/2026 Common Stock 698,250 (1) 931,000 I See Footnotes(2)(6)
Warrants (right to buy) $4.125 06/01/2021 P 399,000 06/01/2021 06/01/2026 Common Stock 299,250 (1) 399,000 I See Footnotes(3)(7)
1. Name and Address of Reporting Person*
VEDANTA PARTNERS, LLC

(Last) (First) (Middle)
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Vedanta Associates-R, LP

(Last) (First) (Middle)
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VEDANTA ASSOCIATES, L.P.

(Last) (First) (Middle)
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
1. Name and Address of Reporting Person*
BETA OPERATORS FUND, L.P.

(Last) (First) (Middle)
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
1. Name and Address of Reporting Person*
SAXENA PARAG

(Last) (First) (Middle)
C/O VEDANTA MANAGEMENT LP
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
Explanation of Responses:
1. The securities were purchased as a unit, with each unit consisting of one share of common stock and one warrant exercisable for 0.75 shares of common stock. The purchase price of each unit was $3.75 per share.
2. Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners.
3. Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners.
4. Held directly by Vedanta Associates. Vedanta Partners is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners.
5. Held directly by Mr. Saxena.
6. Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.
7. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.
/s/ Parag Saxena - for Vedanta Partners, LLC, by Parag Saxena, its CEO 06/03/2021
/s/ Parag Saxena - for Vedanta Associates-R, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO 06/03/2021
/s/ Parag Saxena - for Vedanta Associates, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO 06/03/2021
/s/ Parag Saxena - for Beta Operators Fund, L.P., by Vedanta Associates, LP, its general partner, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO 06/03/2021
/s/ Parag Saxena 06/03/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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