Filing Details
- Accession Number:
- 0001593968-20-001907
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-09-18 19:36:34
- Reporting Period:
- 2020-09-17
- Accepted Time:
- 2020-09-18 19:36:34
- 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 |
---|---|---|---|---|---|---|---|
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 | 2020-09-17 | 9,600 | $4.73 | 120,627 | No | 4 | M | Direct | |
Common Stock | Disposition | 2020-09-17 | 9,600 | $67.32 | 111,027 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | 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 | 2020-09-17 | 9,600 | $0.00 | 9,600 | $4.73 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
61,650 | 2017-09-01 | 2027-11-30 | 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 $66.72 to $68.05. 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 are held directly by the Buchanan Grandchildren's Irrevocable Trust, for which the Reporting Person serves as a co-trustee.
- One forty-eighth of the shares subject to the option shall vest on September 1, 2017 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.