4//SEC Filing
VERTICAL GROUP LP 4
Accession 0001628280-19-004136
CIK 0001397702other
Filed
Apr 9, 8:00 PM ET
Accepted
Apr 10, 7:04 PM ET
Size
43.7 KB
Accession
0001628280-19-004136
Insider Transaction Report
Form 4
VERTICAL GROUP LP
10% Owner
Transactions
- Conversion
Series A-1 Preferred Stock
2019-04-08−888,888→ 0 total(indirect: See Footnote)→ Common Stock (888,888 underlying) - Conversion
Series A-1 Preferred Stock
2019-04-08−222,221→ 0 total(indirect: See Footnote)→ Common Stock (222,221 underlying) - Exercise of In-Money
Series C Preferred Stock Warrant (Right to buy)
2019-04-08−24,631→ 0 total(indirect: See Footnote)Exercise: $6.11Exp: 2023-10-13→ Common Stock (24,631 underlying) - Exercise of In-Money
Series C Preferred Stock
2019-04-08+49,212→ 49,212 total(indirect: See Footnote)→ Common Stock (49,212 underlying) - Conversion
Series A Preferred Stock
2019-04-08−329,628→ 0 total(indirect: See Footnote)→ Common Stock (329,628 underlying) - Conversion
Series B Preferred Stock
2019-04-08−501,578→ 0 total(indirect: See Footnote)→ Common Stock (501,578 underlying) - Conversion
Series B Preferred Stock
2019-04-08−125,393→ 0 total(indirect: See Footnote)→ Common Stock (125,393 underlying) - Conversion
Series C Preferred Stock
2019-04-08−131,201→ 0 total(indirect: See Footnote)→ Common Stock (131,201 underlying) - Conversion
Common Stock
2019-04-08+857,655→ 859,496 total(indirect: See Footnote) - Exercise of In-Money
Series C Preferred Stock Warrant (Right to buy)
2019-04-08−98,527→ 0 total(indirect: See Footnote)Exercise: $6.11Exp: 2023-10-13→ Common Stock (98,527 underlying) - Exercise of In-Money
Series C Preferred Stock
2019-04-08+196,855→ 196,855 total(indirect: See Footnote)→ Common Stock (196,855 underlying) - Conversion
Series C Preferred Stock
2019-04-08−524,814→ 0 total(indirect: See Footnote)→ Common Stock (524,814 underlying) - Exercise of In-Money
Series C Preferred Stock Warrant (Right to buy)
2019-04-08−24,581→ 0 total(indirect: See Footnote)Exercise: $6.11Exp: 2022-08-07→ Common Stock (24,581 underlying) - Conversion
Common Stock
2019-04-08+3,412,133→ 3,419,453 total(indirect: See Footnote) - Conversion
Series A Preferred Stock
2019-04-08−1,299,998→ 0 total(indirect: See Footnote)→ Common Stock (1,299,998 underlying) - Exercise of In-Money
Series C Preferred Stock Warrant (Right to buy)
2019-04-08−98,328→ 0 total(indirect: See Footnote)Exercise: $6.11Exp: 2022-08-07→ Common Stock (98,328 underlying) - Conversion
Series C Preferred Stock
2019-04-08−246,067→ 0 total(indirect: See Footnote)→ Common Stock (246,067 underlying)
Holdings
- 741(indirect: See Footnote)
Common Stock
Footnotes (15)
- [F1]The Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- [F10]This warrant is held by VFI.
- [F11]VFII paid cash to exercise this warrant to purchase shares of the Issuer's Series C Preferred Stock.
- [F12]This warrant is held by VFII.
- [F13]These shares are held by VFI.
- [F14]These shares are held by VFII.
- [F15]Prior to conversion to Common Stock, these shares are comprised of 196,855 shares held by VFI and 49,212 shares held by VFII.
- [F2]The total of 3,419,453 shares beneficially owned is comprised of (i) 7,320 shares of Common Stock held prior to the date hereof (ii) a total of 3,215,278 shares of Common Stock issued upon conversion of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock held prior to the date hereof, and (iii) a total of 196,855 shares of Common Stock issued upon conversion of Series C Preferred Stock issued pursuant to the exercise of warrants, as detailed in footnote (8)
- [F3]These shares are held directly by Vertical Fund I, L.P. ("VFI").
- [F4]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 Messrs. 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, Inc. ("VGI"), VFI and VFII, and each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F5]The total of 859,496 shares beneficially owned is comprised of (i) 1,841 shares of Common Stock held prior to the date hereof (ii) a total of 808,443 shares of Common Stock issued upon conversion of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock held prior to the date hereof, and (iii) a total of 49,212 shares of Common Stock issued upon conversion of Series C Preferred Stock issued pursuant to the exercise of warrants, as detailed in footnote (11).
- [F6]These shares are held directly by VFII.
- [F7]These shares are held directly by VGI.
- [F8]VFI paid cash to exercise this warrant to purchase shares of the Issuer's Series C Preferred Stock.
- [F9]All of the shares subject to the warrant are fully exercisable as of the date hereof.
Documents
Issuer
Silk Road Medical Inc
CIK 0001397702
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001180179
Filing Metadata
- Form type
- 4
- Filed
- Apr 9, 8:00 PM ET
- Accepted
- Apr 10, 7:04 PM ET
- Size
- 43.7 KB