Filing Details
- Accession Number:
- 0001593968-23-000796
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-12 21:37:57
- Reporting Period:
- 2023-05-11
- Accepted Time:
- 2023-05-12 21:37:57
- 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 | 2023-05-11 | 1,000 | $1.60 | 270,132 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-05-11 | 2,000 | $1.60 | 272,132 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-05-11 | 1,000 | $35.51 | 271,132 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-11 | 2,000 | $35.51 | 269,132 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2023-05-11 | 2,000 | $0.00 | 2,000 | $1.60 |
| Common Stock | Option (right to buy) | Disposition | 2023-05-11 | 1,000 | $0.00 | 1,000 | $1.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,654 | 2016-09-04 | 2026-08-04 | No | 4 | M | Direct |
| 15,654 | 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 exercises and sales 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).
- 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 the option are fully vested and exercisable as of the date hereof.
Billionaire Hedge Funds
