New Enterprise Associates 10 L P's Form 4 filing
CVRx, Inc.CVRX · filed Jul 7, 2021
- Accession no.
- 0001209191-21-045826
- Filed
- Jul 7, 2021
- Trade date
- Jul 2, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 7 derivative transactions. Open-market purchases total $4.06M. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| New Enterprise Associates 10 L PCIK 0001132326 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | CConversionAcquired | +58,175 | –F1 | – | 58,175 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +57,241 | –F1 | – | 115,416 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +71,077 | –F1 | – | 186,493 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +80,178 | –F1 | – | 266,671 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +83,396 | –F1 | – | 350,067 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +253,605 | –F1 | – | 603,672 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +1,196,911 | –F2 | – | 1,800,583 | Direct | |
| Jul 2, 2021 | Common Stock | PPurchaseAcquired | +225,500 | $18.00 | +$4,059,000 | 2,026,083 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | CConversionDisposed | −58,175 | $0.00 | $0 | 0 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −57,241 | $0.00 | $0 | 0 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −71,077 | $0.00 | $0 | 0 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −80,178 | $0.00 | $0 | 0 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −83,396 | $0.00 | $0 | 0 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −253,605 | $0.00 | $0 | 0 | Direct | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −1,196,911 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.
Referenced by the price of 6 transactions in Table I.
- F2
Upon the closing of the Issuer's initial public offering, each share of Series G Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.0632143218.
Referenced by the price of 1 transaction in Table I.