Erica J. Rogers - 11 Nov 2021 Form 4 Insider Report for Silk Road Medical Inc

Role
President and CEO, Director
Signature
/s/Mhairi Jones, by power of attorney
Issuer symbol
N/A
Transactions as of
11 Nov 2021
Net transactions value
-$891,543
Form type
4
Filing time
15 Nov 2021, 17:14:34 UTC
Previous filing
12 Oct 2021
Next filing
30 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SILK Common Stock Options Exercise $8,377 +5,738 +4.3% $1.46* 137,774 11 Nov 2021 Direct F1
transaction SILK Common Stock Sale $290,569 -5,738 -4.2% $50.64 132,036 11 Nov 2021 Direct F1, F2
transaction SILK Common Stock Options Exercise $16,000 +10,000 +7.6% $1.60* 142,036 11 Nov 2021 Direct F1
transaction SILK Common Stock Sale $506,394 -10,000 -7% $50.64 132,036 11 Nov 2021 Direct F1, F2
transaction SILK Common Stock Sale $118,958 -2,357 -1.8% $50.47 129,679 11 Nov 2021 Direct F3
holding SILK Common Stock 83,843 11 Nov 2021 Trustees of The Surace/Rogers Family Trust F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SILK Option (right to buy) Options Exercise $0 -5,738 -100% $0.000000* 0 11 Nov 2021 Common Stock 5,738 $1.46 Direct F1, F5
transaction SILK Option (right to buy) Options Exercise $0 -10,000 -5.5% $0.000000 172,654 11 Nov 2021 Common Stock 10,000 $1.60 Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The option exercise and sale reported on this Form 4 were effected pursuant to Rule 10b5-1 Trading Plan adopted by the reporting person on August 20, 2021.
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.
F3 The sale reported on this Form 4 were effected pursuant to Rule 10b5-1 Trading Plan adopted by the reporting person on August 20, 2021.
F4 These shares are held directly by Kevin J. Surace and Erica J. Rogers, as Trustees of The Surace Rogers Family Trust.
F5 All of the shares subject to this option are fully vested and exercisable as of the date hereof.