Filing Details

Accession Number:
0001593968-23-000601
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-04-12 17:29:15
Reporting Period:
2023-04-11
Accepted Time:
2023-04-12 17:29:15
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 2023-04-11 6,000 $1.60 275,132 No 4 M Direct
Common Stock Disposition 2023-04-11 6,000 $39.77 269,132 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 2023-04-11 6,000 $0.00 6,000 $1.60
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
18,654 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
  1. The option exercise and sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person on August 8, 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).
  2. This transaction was executed in multiple trades at price ranging from $39.12 to $40.01. 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.
  3. These shares are held directly by Kevin J. Surace and Erica J. Rogers, as Trustees of The Surace Rogers Family Trust.
  4. All of the shares subject to the option are fully vested and exercisable as of the date hereof.