Filing Details
- Accession Number:
- 0001593968-23-000739
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-03 18:39:34
- Reporting Period:
- 2023-05-01
- Accepted Time:
- 2023-05-03 18:39:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1770191 | S. Andrew Davis | C/O Silk Road Medical, Inc. 1213 Innsbruck Drive Sunnyvale CA 94089 | Chief Commercial 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 | 2023-05-01 | 482 | $6.11 | 116,165 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-05-01 | 474 | $20.00 | 116,639 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-05-01 | 2,584 | $4.73 | 119,223 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-05-01 | 3,213 | $4.73 | 122,436 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-05-01 | 482 | $44.51 | 121,954 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-01 | 474 | $44.51 | 121,480 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-01 | 2,584 | $44.51 | 118,896 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-01 | 3,213 | $44.51 | 115,683 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (right to buy) | Disposition | 2023-05-01 | 3,213 | $0.00 | 3,213 | $4.73 |
| Common Stock | Option (right to buy) | Disposition | 2023-05-01 | 482 | $0.00 | 482 | $6.11 |
| Common Stock | Option (right to buy) | Disposition | 2023-05-01 | 474 | $0.00 | 474 | $20.00 |
| Common Stock | Option (right to buy) | Disposition | 2023-05-01 | 2,584 | $0.00 | 2,584 | $4.73 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 44,238 | 2017-09-01 | 2027-11-30 | No | 4 | M | Direct |
| 1,853 | 2019-08-01 | 2028-09-13 | No | 4 | M | Direct |
| 33,220 | 2019-05-03 | 2029-04-03 | No | 4 | M | Direct |
| 18,720 | 2021-04-04 | 2027-11-30 | No | 4 | M | Direct |
Footnotes
- The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person on May 20, 2022, prior to the effectiveness of the revised requirements of Rule 10b5-1(c). In compliance with SEC guidance, the Reporting Person has not checked the box above but states that the Rule 10b5-1 trading plan is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
- This transaction was executed in multiple trades at price ranging from $43.99 to $45.02. 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.
- All of the shares subject to the option are fully vested and exercisable as of the date hereof.
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