SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Jones Marie L.

(Last) (First) (Middle)
C/O SILK ROAD MEDICAL, INC.
1213 INNSBRUCK DRIVE

(Street)
SUNNYVALE CA 94089

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/09/2023
3. Issuer Name and Ticker or Trading Symbol
Silk Road Medical Inc [ SILK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CAO and VP, Finance
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 45,496 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option (right to buy) 04/01/2021(1) 03/01/2031 Common Stock 6,500 55.3 D
Option (right to buy) 04/01/2022(2) 03/01/2032 Common Stock 11,900 36.55 D
Option (right to buy) 04/01/2020(3) 03/27/2030 Common Stock 9,225 30.93 D
Option (right to buy) 02/22/2019(4) 09/23/2028 Common Stock 10,031 6.11 D
Option (right to buy) 02/22/2019(4) 09/23/2028 Common Stock 8,487 6.11 D
Option (right to buy) 02/05/2019(4) 03/22/2028 Common Stock 65,112 6.11 D
Option (right to buy) 02/05/2019(4) 03/22/2028 Common Stock 6,549 6.11 D
Explanation of Responses:
1. One forty-eighth of the shares subject to the option vested on April 1, 2021 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
2. One forty-eighth of the shares subject to the option vested on April 1, 2022 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
3. One forty-eighth of the shares subject to the option vested on April 1, 2020 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
4. All of the shares subject to the option are fully vested and exercisable as of the date hereof.
Remarks:
/s/ Jones, Marie L 03/17/2023
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.