VERTICAL GROUP LP 3

Accession 0001628280-19-003884

CIK 0001397702other

Filed

Apr 2, 8:00 PM ET

Accepted

Apr 3, 4:30 PM ET

Size

21.8 KB

Accession

0001628280-19-003884

Form 3

Period: 2019-04-03

10% Owner

Holdings

Common Stock
(indirect: See Footnote)
1,841
Series C Preferred Stock
(indirect: See Footnote)
→ Common Stock (524,814 underlying)
Series C Preferred Stock Warrant (Right to buy)
(indirect: See Footnote)
Exercise: $6.11Exp: 2022-08-07→ Common Stock (24,581 underlying)
Common Stock
(indirect: See Footnote)
7,320
Series A Preferred Stock
(indirect: See Footnote)
→ Common Stock (1,299,998 underlying)
Series A-1 Preferred Stock
(indirect: See Footnote)
→ Common Stock (222,221 underlying)
Series C Preferred Stock Warrant (Right to buy)
(indirect: See Footnote)
Exercise: $6.11Exp: 2022-08-07→ Common Stock (98,328 underlying)
Series C Preferred Stock Warrant (Right to buy)
(indirect: See Footnote)
Exercise: $6.11Exp: 2023-10-13→ Common Stock (98,527 underlying)
Series C Preferred Stock Warrant (Right to buy)
(indirect: See Footnote)
Exercise: $6.11Exp: 2023-10-13→ Common Stock (24,631 underlying)
Common Stock
(indirect: See Footnote)
741
Series A Preferred Stock
(indirect: See Footnote)
→ Common Stock (329,628 underlying)
Series A-1 Preferred Stock
(indirect: See Footnote)
→ Common Stock (888,888 underlying)
Series B Preferred Stock
(indirect: See Footnote)
→ Common Stock (501,578 underlying)
Series B Preferred Stock
(indirect: See Footnote)
→ Common Stock (125,393 underlying)
Series C Preferred Stock
(indirect: See Footnote)
→ Common Stock (131,201 underlying)

Footnotes (8)

[F1]These shares are held directly by Vertical Fund I, L.P. ("VFI").
[F2]The Vertical Group, L.P., a Delaware limited partnership, is the sole general partner of each of VFI and Vertical Fund II, L.P. ("VFII"), and The Vertical Group GP, LLC, a Delaware limited liability company, controls The Vertical Group, L.P. The sole members and managers of The Vertical Group GP, LLC are Tony M. Chou, Richard B. Emmitt, Jack W. Lasersohn and John E. Runnells. These four individuals share voting and investment power over securities held by The Vertical Group, VFI and VFII, and each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
[F3]These shares are held directly by VFII.
[F4]These shares are held directly by The Vertical Group, Inc. Mssrs. Chou, Emmitt, Lasersohn and Runnells share voting and investment power over securities held by The Vertical Group, Inc., and each disclaims beneficial ownership in such shares except to the extent of his pecuniary interest therein.
[F5]Each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock shall automatically convert into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering of Common Stock and has no expiration date
[F6]All of the shares subject to this warrant are exercisable as of the date hereof.
[F7]This warrant is held by VFI.
[F8]This warrant is held by VFII.

Documents

1 file

Silk Road Medical Inc

CIK 0001397702

Entity typeother

IncorporatedDE