Rogers Erica J.'s Form 4 filing
Silk Road Medical Inc (SILK) · filed Nov 15, 2021
- Accession no.
- 0001593968-21-002392
- Filed
- Nov 15, 2021
- Trade date
- Nov 11, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $915.9K. It was filed 4 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 |
|---|---|
| Rogers Erica J.CIK 0001769940 | Director, Officer (President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +5,738 | $1.46 | +$8,377.48 | 137,774 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −5,738 | $50.64F2 | −$290,572.32 | 132,036 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $1.60 | +$16,000 | 142,036 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −10,000 | $50.64F2 | −$506,400 | 132,036 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −2,357 | $50.47 | −$118,957.79 | 129,679 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −5,738 | $0.00 | $0 | 0 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 172,654 | 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 $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.
Referenced by the price of 2 transactions in Table I.