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3//SEC Filing

WP X Finance, L.P. 3

Accession 0001628280-19-003911

CIK 0001397702other
View on SEC.govCompany Profile

Filed

Apr 2, 8:00 PM ET

Accepted

Apr 3, 7:39 PM ET

Size

148.3 KB

Accession

0001628280-19-003911

Insider Transaction Report

Form 3
Period: 2019-04-03
Silk Road Medical IncSILK
Warburg Pincus X LLC
10% Owner
Holdings

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Common Stock

    19,901

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)
WARBURG PINCUS X PARTNERS, L.P.
10% Owner
Holdings

  • Common Stock

    19,901

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)
WP X Finance, L.P.
10% Owner
Holdings

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)

  • Common Stock

    19,901

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)
Warburg Pincus X, L.P.
10% Owner
Holdings

  • Common Stock

    19,901

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)
Warburg Pincus Private Equity X, L.P.
10% Owner
Holdings

  • Common Stock

    19,901

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)
Warburg Pincus Partners, L.P.
10% Owner
Holdings

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Common Stock

    19,901

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)
WPP GP LLC
10% Owner
Holdings

  • Common Stock

    19,901

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)
WPX GP, L.P.
10% Owner
Holdings

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)

  • Common Stock

    19,901

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)
Warburg Pincus Partners GP LLC
10% Owner
Holdings

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (1,071,902 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2022-08-07→ Common Stock (34,291 underlying)

  • Series B Preferred Stock

    → Common Stock (5,637,492 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (1,074,072 underlying)

  • Series C Preferred Stock Warrant (Right to buy)

    Exercise: $6.11Exp: 2023-10-13→ Common Stock (34,361 underlying)

  • Common Stock

    19,901

  • Series C Preferred Stock

    → Common Stock (5,904,180 underlying)
Footnotes (9)
  • [F1]19,285 of these shares are held of record by WP X Finance, L.P. ("WP X Finance") and 616 of these shares are held of record by Warburg Pincus X Partners, L.P. ("WPXP").
  • [F2]WPX GP, L.P., a Delaware limited partnership ("WPX GP"), is the managing general partner of WP X Finance. Warburg Pincus Private Equity X, L.P., a Delaware limited partnership ("WP X"), is the general partner of WPX GP. Warburg Pincus X, L.P., a Delaware limited partnership ("WPX LP"), is the general partner of WPX and WPXP. Warburg Pincus X GP L.P., a Delaware limited partnership ("WP X GP LP"), is the general partner of WPX LP. WPP GP LLC, a Delaware limited liability company ("WPP GP"), is the general partner of WP X GP LP. Warburg Pincus Partners, L.P., a Delaware limited partnership ("WP Partners"), is the managing member of WPP GP. Warburg Pincus Partners GP LLC, a Delaware limited liability company ("WP Partners GP"), is the general partner of WP Partners.
  • [F3](continuation from footnote 2) Warburg Pincus & Co., a New York general partnership ("WP"), is the managing member of WP Partners GP. Charles R. Kaye and Joseph P. Landy are each Managing General Partners of WP and may each be deemed to control the Warburg Pincus entities. Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by the Warburg Pincus entities.
  • [F4]Each share of 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
  • [F5]5,462,731 of these shares are held of record by WP X Finance and 174,761 of these shares are held of record by WPXP.
  • [F6]5,721,152 of these shares are held of record by WP X Finance and 183,028 of these shares are held of record by WPXP.
  • [F7]All of the shares subject to this warrant are exercisable as of the date hereof.
  • [F8]This warrant is held by WP X Finance.
  • [F9]This warrant is held by WPXP.

Documents

2 files

Issuer

Silk Road Medical Inc

CIK 0001397702

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001770767

Filing Metadata

Form type
3
Filed
Apr 2, 8:00 PM ET
Accepted
Apr 3, 7:39 PM ET
Size
148.3 KB
View on SEC.gov