Buchanan Lucas W.'s Form 4 filing
Silk Road Medical Inc (SILK) · filed Jan 19, 2023
- Accession no.
- 0001593968-23-000180
- Filed
- Jan 19, 2023
- Trade date
- Jan 17-19, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $4.66M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 17, 2023 | Common Stock | MOption exerciseAcquired | +45,000 | $1.60 | +$72,000 | 236,527 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −45,000 | $54.68F2 | −$2,460,600 | 191,527 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseAcquired | +12,766 | $1.60 | +$20,425.6 | 204,293 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −12,766 | $53.40F3 | −$681,704.4 | 191,527 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseAcquired | +25,762 | $20.00 | +$515,240 | 217,289 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −25,762 | $53.40F3 | −$1,375,690.8 | 191,527 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −2,716 | $53.40F3 | −$145,034.4 | 188,811 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 17, 2023 | Common Stock | MOption exerciseDisposed | −45,000 | $0.00 | $0 | 20,409 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseDisposed | −12,766 | $0.00 | $0 | 7,643 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseDisposed | −25,762 | $0.00 | $0 | 7,331 | 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 $53.79 to $57.20. 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 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at price ranging from $52.68 to $54.71. 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.