# EDGAR Filing Document

**Accession Number:** 0001968991
**File Stem:** 0001593968-23-000499
**Filing Date:** 2023-3
**Character Count:** 5663
**Document Hash:** 817c9d9bff97e532bc62776160897583
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001593968-23-000499.hdr.sgml**: 20230320

**ACCESSION NUMBER**: 0001593968-23-000499

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230309

**FILED AS OF DATE**: 20230320

**DATE AS OF CHANGE**: 20230320

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Jones Marie L.
- **CENTRAL INDEX KEY:** 0001968991

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38847
- **FILM NUMBER:** 23744826

**MAIL ADDRESS:**
- **STREET 1:** 1213 INNSBRUCK DRIVE
- **CITY:** SUNNYVALE
- **STATE:** CA
- **ZIP:** 94089
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Silk Road Medical Inc
- **CENTRAL INDEX KEY:** 0001397702
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **IRS NUMBER:** 208777622
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1213 INNSBRUCK DR.
- **CITY:** SUNNYVALE
- **STATE:** CA
- **ZIP:** 94089-2918
- **BUSINESS PHONE:** 6505669060

**MAIL ADDRESS:**
- **STREET 1:** 1213 INNSBRUCK DR.
- **CITY:** SUNNYVALE
- **STATE:** CA
- **ZIP:** 94089-2918

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Jones Marie L.<br><sub>(Last) (First) (Middle)</sub><br>C/O SILK ROAD MEDICAL, INC.<br>1213 INNSBRUCK DRIVE<br><sub>(Street)</sub><br>SUNNYVALE, CA 94089<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Silk Road Medical Inc [ SILK ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-09 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_CAO and VP, Finance_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 45496 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Option (right to buy) | 2021-04-01<sup>(1)</sup> | 2031-03-01 | Common Stock | 6500 | $55.30 | D |  |
| Option (right to buy) | 2022-04-01<sup>(2)</sup> | 2032-03-01 | Common Stock | 11900 | $36.55 | D |  |
| Option (right to buy) | 2020-04-01<sup>(3)</sup> | 2030-03-27 | Common Stock | 9225 | $30.93 | D |  |
| Option (right to buy) | 2019-02-22<sup>(4)</sup> | 2028-09-23 | Common Stock | 10031 | $6.11 | D |  |
| Option (right to buy) | 2019-02-22<sup>(4)</sup> | 2028-09-23 | Common Stock | 8487 | $6.11 | D |  |
| Option (right to buy) | 2019-02-05<sup>(4)</sup> | 2028-03-22 | Common Stock | 65112 | $6.11 | D |  |
| Option (right to buy) | 2019-02-05<sup>(4)</sup> | 2028-03-22 | Common Stock | 6549 | $6.11 | D |  |

---

### Footnotes:

(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.

**Signature:** /s/ Jones, Marie L  
**Date:** 2023-03-17

### Remarks:

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 4 (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.**