0001593968-23-000992.txt : 20230613 0001593968-23-000992.hdr.sgml : 20230613 20230613201307 ACCESSION NUMBER: 0001593968-23-000992 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230519 FILED AS OF DATE: 20230613 DATE AS OF CHANGE: 20230613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rogers Erica J. CENTRAL INDEX KEY: 0001769940 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38847 FILM NUMBER: 231012714 MAIL ADDRESS: STREET 1: C/O SILK ROAD MEDICAL, INC. STREET 2: 1213 INNSBRUCK DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Silk Road Medical Inc CENTRAL INDEX KEY: 0001397702 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 208777622 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1213 INNSBRUCK DR. CITY: SUNNYVALE STATE: CA ZIP: 94089-2918 BUSINESS PHONE: 6505669060 MAIL ADDRESS: STREET 1: 1213 INNSBRUCK DR. CITY: SUNNYVALE STATE: CA ZIP: 94089-2918 4 1 primary_01.xml PRIMARY DOCUMENT X0407 4 2023-05-19 0001397702 Silk Road Medical Inc SILK 0001769940 Rogers Erica J. C/O SILK ROAD MEDICAL, INC. 1213 INNSBRUCK DRIVE SUNNYVALE CA 94089 true true President and CEO false Common Stock 2023-05-19 5 A false E 507 26.17 A 269639 D Common Stock 2023-06-12 4 M false 1000 1.6 A 270639 D Common Stock 2023-06-12 4 S false 1000 32.13 D 269639 D Common Stock 83843 I Trustees of The Surace/Rogers Family Trust Option (right to buy) 1.6 2023-06-12 4 M false 1000 0 D 2016-09-04 2026-08-04 Common Stock 1000 14654 D These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c). 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). These shares are held directly by Kevin J. Surace and Erica J. Rogers, as Trustees of The Surace Rogers Family Trust. All of the shares subject to the option are fully vested and exercisable as of the date hereof. /s/Mhairi Jones, by power of attorney 2023-06-13