Filing Details
- Accession Number:
- 0001593968-20-001479
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-16 19:27:06
- Reporting Period:
- 2020-05-20
- Accepted Time:
- 2020-06-16 19:27:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1397702 | Silk Road Medical Inc | SILK | Surgical & Medical Instruments & Apparatus (3841) | 208777622 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1769830 | W. Lucas Buchanan | C/O Silk Road Medical, Inc. 1213 Innsbruck Drive Sunnyvale CA 94089 | Chief Financial Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-06-15 | 3,942 | $1.60 | 114,300 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-15 | 3,942 | $36.97 | 110,358 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-06-15 | 5,658 | $1.60 | 116,016 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-15 | 5,658 | $36.97 | 110,358 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-20 | 598 | $30.91 | 110,956 | No | 5 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 5 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (right to buy) | Disposition | 2020-06-15 | 3,942 | $0.00 | 3,942 | $1.60 |
| Common Stock | Option (right to buy) | Disposition | 2020-06-15 | 5,658 | $0.00 | 5,658 | $1.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 179,409 | 2015-12-03 | 2025-12-03 | No | 4 | M | Direct |
| 11,921 | 2016-09-04 | 2026-08-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 13,518 | Indirect | Buchanan Grandchildren's Irrevocable Trust |
Footnotes
- The option exercise and sale reported on this Form 4 were effected pursuant to Rule 10b5-1 Trading Plan adopted by the reporting person on September 5, 2019.
- This transaction was executed in multiple trades at price ranging from $35.94 to $38.62. The price reported above reflects the weighted average sale 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 transaction was effected.
- These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c).
- These shares are held directly by the Buchanan Grandchildren's Irrevocable Trust, for which the Reporting Person serves as a co-trustee.
- All of the shares subject to this option are fully vested and exercisable as of the date hereof.
- One forty-eighth of the shares subject to the option shall vest on September 4, 2016 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
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