Erica J. Rogers - 19 May 2023 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
19 May 2023
Net transactions value
-$17,262
Form type
4
Filing time
13 Jun 2023, 20:13:07 UTC
Previous filing
12 May 2023
Next filing
12 Jun 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SILK Common Stock Award $13,268 +507 +0.19% $26.17 269,639 19 May 2023 Direct F1
transaction SILK Common Stock Options Exercise $1,600 +1,000 +0.37% $1.60* 270,639 12 Jun 2023 Direct F2
transaction SILK Common Stock Sale $32,130 -1,000 -0.37% $32.13 269,639 12 Jun 2023 Direct F2
holding SILK Common Stock 83,843 19 May 2023 Trustees of The Surace/Rogers Family Trust F3

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 -1,000 -6.4% $0.000000 14,654 12 Jun 2023 Common Stock 1,000 $1.60 Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c).
F2 The option exercise and sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person on August 8, 2022, prior to the effectiveness of the revised requirements of Rule 10b5-1(c). In compliance with SEC guidance, the Reporting Person has not checked the box above but states that the Rule 10b5-1 trading plan is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
F3 These shares are held directly by Kevin J. Surace and Erica J. Rogers, as Trustees of The Surace Rogers Family Trust.
F4 All of the shares subject to the option are fully vested and exercisable as of the date hereof.