Filing Details
- Accession Number:
- 0001593968-21-002392
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-15 18:14:34
- Reporting Period:
- 2021-11-11
- Accepted Time:
- 2021-11-15 18:14:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1769940 | J. Erica Rogers | C/O Silk Road Medical, Inc. 1213 Innsbruck Drive Sunnyvale CA 94089 | President And Ceo | 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 | 2021-11-11 | 5,738 | $1.46 | 137,774 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-11 | 5,738 | $50.64 | 132,036 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-11-11 | 10,000 | $1.60 | 142,036 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-11 | 10,000 | $50.64 | 132,036 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-11 | 2,357 | $50.47 | 129,679 | No | 4 | S | 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 | 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 | 2021-11-11 | 5,738 | $0.00 | 5,738 | $1.46 |
| Common Stock | Option (right to buy) | Disposition | 2021-11-11 | 10,000 | $0.00 | 10,000 | $1.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-01-24 | 2024-12-24 | No | 4 | M | Direct |
| 172,654 | 2016-09-04 | 2026-08-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 83,843 | Indirect | Trustees of The Surace/Rogers Family 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 August 20, 2021.
- This transaction was executed in multiple trades at price ranging from $49.31 to $51.99. 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.
- The sale reported on this Form 4 were effected pursuant to Rule 10b5-1 Trading Plan adopted by the reporting person on August 20, 2021.
- These shares are held directly by Kevin J. Surace and Erica J. Rogers, as Trustees of The Surace Rogers Family Trust.
- All of the shares subject to this option are fully vested and exercisable as of the date hereof.
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