Buchanan Lucas W.'s Form 4 filing
Silk Road Medical Inc (SILK) · filed Jul 29, 2021
- Accession no.
- 0001593968-21-001917
- Filed
- Jul 29, 2021
- Trade date
- Jul 27-28, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $449.1K. It was filed 2 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 |
|---|---|
| Buchanan Lucas W.CIK 0001769830 | Officer (COO/CFO) |
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 27, 2021 | Common Stock | MOption exerciseAcquired | +3,000 | $1.60 | +$4,800 | 189,192 | Direct | |
| Jul 28, 2021 | Common Stock | MOption exerciseAcquired | +3,595 | $20.00 | +$71,900 | 192,787 | Direct | |
| Jul 28, 2021 | Common Stock | SSaleDisposed | −3,595 | $44.91F2 | −$161,451.45 | 189,192 | Direct | |
| Jul 28, 2021 | Common Stock | MOption exerciseAcquired | +4,021 | $30.93 | +$124,369.53 | 193,213 | Direct | |
| Jul 28, 2021 | Common Stock | SSaleDisposed | −4,021 | $44.91F2 | −$180,583.11 | 189,192 | Direct | |
| Jul 28, 2021 | Common Stock | SSaleDisposed | −2,384 | $44.91F2 | −$107,065.44 | 186,808 | 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 27, 2021 | Common Stock | MOption exerciseDisposed | −3,000 | $0.00 | $0 | 135,409 | Direct | |
| Jul 28, 2021 | Common Stock | MOption exerciseDisposed | −3,595 | $0.00 | $0 | 45,448 | Direct | |
| Jul 28, 2021 | Common Stock | MOption exerciseDisposed | −4,021 | $0.00 | $0 | 28,154 | 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.
- F2
This transaction was executed in multiple trades at price ranging from $43.97 to $46.01. 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.
Referenced by the price of 3 transactions in Table I.