Washington, D.C. 20549

Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of report (Date of earliest event reported): September 21, 2020

(Exact name of Registrant as specified in its charter)

(State or other jurisdiction of
incorporation or organization)
File Number)
(I.R.S. Employer
Identification Number)
1213 Innsbruck Drive
Sunnyvale, California 94089
(Address of principal executive office) (Zip Code)
(408) 720-9002
(Registrant’s telephone number, including area code)
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading SymbolName of each exchange on which registered
Common Stock, Par Value $0.001 Per ShareSILKThe NASDAQ Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2) of this chapter
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.02.      Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(c) Appointment of Principal Operating Officer

On September 20, 2020, the Board of Directors of Silk Road Medical (the “Company”) appointed Lucas W. Buchanan, the Company’s current Chief Financial Officer, to serve as the Chief Operating Officer of the Company, effective October 1, 2020. In this role, Mr. Buchanan will serve as the principal operating officer of the Company. Mr. Buchanan will continue to serve as the Company’s Chief Financial Officer.

Mr. Buchanan, 43, has served as the Company’s Chief Financial Officer since July 2016 and since August 2009 has held multiple roles including Executive Vice President, Commercialization and Corporate Development and Vice President, Marketing and Business Development. From May 2013 to May 2014, Mr. Buchanan was a Senior Director of Strategy and Corporate Development at Impax Laboratories. From 2009 to 2011, Mr. Buchanan was part of the Company’s early team while employed at The Vertical Group, a venture capital firm and the founder of the Company. He previously worked at Medtronic and at Ernst & Young Corporate Finance LLC. Mr. Buchanan received a B.A. in economics from Duke University and an M.B.A. in health care management from The Wharton School at the University of Pennsylvania.

There are no family relationships between Mr. Buchanan and any director or executive officer of the Company, and the Company has not entered into any transactions with Mr. Buchanan that would require disclosure under Item 404(a) of Regulation S-K. There is no arrangement or understanding between Mr. Buchanan and any other person pursuant to which Mr. Buchanan was appointed Chief Operating Officer of the Company.

On September 21, 2020, the Company issued a press release announcing Mr. Buchanan’s appointment as the Company’s Chief Operating Officer. The press release is attached hereto as Exhibit 99.1.

Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.Description

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Date: September 21, 2020By:/s/ Erica J. Rogers
Erica J. Rogers
Chief Executive Officer


Silk Road Medical Strengthens Leadership Team

SUNNYVALE, Calif. – September 21, 2020 – Silk Road Medical, Inc. (Nasdaq: SILK), a company focused on reducing the risk of stroke and its devastating impact, today announced that it is strengthening its leadership team with two appointments. William Whealon, Ph.D. has joined the company as Executive Vice President of Research and Development, effective immediately. Silk Road Medical has also named Lucas Buchanan, the company’s current Chief Financial Officer, to also serve as its Chief Operating Officer, effective October 1, 2020.

“We are excited to welcome Bill to Silk Road Medical as we further strengthen our leadership team. His proven track record for building and leading effective and innovative R&D groups and his passion for identifying solutions to solve unmet clinical needs will be instrumental in our continued efforts to achieve durable growth,” said Erica Rogers, President and Chief Executive Officer of Silk Road Medical.

Dr. Whealon brings over two decades of scientific and development leadership to Silk Road Medical, where he is responsible for advancing pipeline programs and expanding the company’s intellectual property portfolio. Prior to joining Silk Road Medical, Dr. Whealon served as Vice President of Research and Development for the Peripheral Vascular business at Medtronic where he was responsible for product development across three worldwide sites. Dr. Whealon received a B.S. degree in Metallugical Engineering and a Ph.D. in Materials Science and Engineering from the University of Wisconsin Madison.

“Silk Road Medical has a unique opportunity to improve patient outcomes and create significant value for healthcare stakeholders by leveraging its intellectual property portfolio and culture of innovation. I am looking forward to leading the R&D team as we further capitalize on the potential of transcarotid technologies and therapies,” said William Whealon, Ph.D., Vice President of Research and Development at Silk Road Medical.

Mr. Buchanan, in his expanded role, will assume additional responsibility and leadership over key operations and administrative functions for the company, including strategic initiatives, operations, manufacturing and supply chain management.

Ms. Rogers continued, “Lucas’ deep knowledge of our business and strong leadership skills make him the ideal COO for Silk Road Medical as we continue to focus on operational excellence while we scale our business and pursue several strategic initiatives.”

About Silk Road Medical
Silk Road Medical, Inc. (NASDAQ: SILK), is a medical device company located in Sunnyvale, California, that is focused on reducing the risk of stroke and its devastating impact. The company has pioneered a new approach for the treatment of carotid artery disease called TransCarotid Artery Revascularization (TCAR). TCAR is a clinically proven procedure combining surgical principles of neuroprotection with minimally invasive endovascular techniques to treat blockages in the carotid artery at risk of causing a stroke. For more information on how Silk Road Medical is

delivering brighter patient outcomes through brighter clinical thinking, visit and connect on Twitter, LinkedIn and Facebook.

Lynn Lewis or Caroline PaulMichael Fanucchi
Gilmartin GroupSilk Road Medical