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)
09/08/2022
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
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
Pre-Funded Warrant $0.0001 09/08/2022 P 869,565 (1) (1) Common Stock 869,565 $2.5299 869,565 I See Footnote(2)
Pre-Funded Warrant $0.0001 09/08/2022 P 513,834 (1) (1) Common Stock 513,834 $2.5299 513,834 I See Footnote(3)
Common Stock Warrant (right to buy) $2.4 09/08/2022 P 869,565 (4) 09/08/2027 Common Stock 869,565 $0.0001 869,565 I See Footnote(2)
Common Stock Warrant (right to buy) $2.4 09/08/2022 P 513,834 (4) 09/08/2027 Common Stock 513,834 $0.0001 513,834 I See Footnote(3)
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)
250 WEST 55TH STREET, SUITE 13D

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
Explanation of Responses:
1. The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.
2. 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, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners. 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.
3. Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners. 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.
4. The common stock warrants expire on September 8, 2027 and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.
/s/ Parag Saxena - for Vedanta Partners, LLC, by Parag Saxena, its CEO 09/12/2022
/s/ Parag Saxena - for Vedanta Associates-R, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO 09/12/2022
/s/ Parag Saxena - for Vedanta Associates, LP, by Vedanta Partners, LLC, its general partner, by Parag Saxena, its CEO 09/12/2022
/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 09/12/2022
/s/ Parag Saxena 09/12/2022
** Signature of Reporting Person Date
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