SCHEDULE 13D/A
0001104659-20-138040
0001818245
XXXXXXXX
LIVE
4
Common Stock, par value $0.0001 per share
12/18/2024
false
0001742927
76152G100
REVIVA PHARMACEUTICALS HOLDINGS, INC.
10080 N WOLFE ROAD
10080 N WOLFE ROAD
CUPERTINO
CA
95014
Laxminarayan Bhat
408-501-8881
10080 N. Wolfe Rd.
Suite SW3-200
Cupertino
CA
95014
0001818245
N
Bhat Laxminarayan
OO
N
X1
2994173.00
204069.00
2994173.00
204069.00
3198242.00
N
6.8
IN
See Item 5 for additional information.
Common Stock, par value $0.0001 per share
REVIVA PHARMACEUTICALS HOLDINGS, INC.
10080 N WOLFE ROAD
10080 N WOLFE ROAD
CUPERTINO
CA
95014
This Amendment No. 4 (this Amendment) amends and supplements the Schedule 13D filed on December 21, 2020, as amended and supplemented by Amendment No. 1 filed on May 5, 2023, Amendment No. 2 filed on February 16, 2024 and Amendment No. 3 filed on August 23, 2024 (the Schedule 13D), by Dr. Laxminarayan Bhat (the Reporting Person) relating to the common stock, par value $0.0001 per share (Common Stock), of Reviva Pharmaceuticals Holdings, Inc., a Delaware corporation (the Issuer). Capitalized terms used but not defined in this Amendment have the respective meanings ascribed to such terms in the Schedule 13D. All references in the Schedule 13D and this Amendment to the Schedule 13D shall be deemed to refer to the Schedule 13D as amended and supplemented by this Amendment.
As of the filing date of this Amendment (the Filing Date), for purposes of Rule 13d-3 promulgated under the Act, the Reporting Person is the beneficial owner of an aggregate of 3,198,242 shares of Common Stock, which represents approximately 6.8% of the outstanding shares of Common Stock, based on 46,579,199 shares of Common Stock outstanding as of December 18, 2024, as reported directly by the Issuer to the Reporting Person.
Of the 3,198,242 shares of Common Stock reported as beneficially owned by the Reporting Person herein, for purposes of Rule 13d-3 under the Act, the Reporting Person: (A) has sole voting power and dispositive power with respect to an aggregate of 2,994,173 of such shares, consisting of (i) 2,478,856 shares of Common Stock held by the Reporting Person, and (ii) 515,317 shares of Common Stock issuable upon the exercise of options held by the Reporting Person that are exercisable or will be exercisable within 60 days of the Filing Date; and (B) may be deemed to share voting power and dispositive power with respect to an aggregate of 204,069 of such shares, consisting of (i) 5,388 shares of Common Stock held by the Reporting Person's spouse, and (ii) 198,681 shares of Common Stock issuable upon the exercise of options held by the Reporting Person's spouse that are exercisable or will be exercisable within 60 days of the Filing Date. The amount of shares reported as beneficially owned by the Reporting Person excludes (i) 86,134 shares of Common Stock underlying unvested options held by the Reporting Person and (ii) 29,162 shares of Common Stock underlying unvested options held by the Reporting Person's spouse, in each case that are not exercisable within 60 days of the Filing Date.
The Reporting Person has not effected any transactions in the Common Stock or securities convertible into, exercisable for or exchangeable for, shares of Common Stock during the period commencing 60 days prior to the Filing Date.
Except as otherwise reported herein, no person or entity other than the Reporting Person has the right to receive, or the power to direct the receipt of dividends from, or the proceeds from the sale of the shares of the Common Stock reported on this Schedule 13D.
Not applicable.
Bhat Laxminarayan
Bhat Laxminarayan
12/20/2024