Form 4 for CVRX CVRx, Inc.

Accepted 2021-07-02 00:00:00 ET · period of report 2021-07-02 · accession 0000904454-21-000576 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
DI	2021-07-02	2021-07-02	CVRX	Johnson & Johnson Innovation - JJDC, Inc.	10%	C - Cnv Deriv	—	+3.50M	3.50M	New	—
DMI	2021-07-02	2021-07-02	CVRX	Johnson & Johnson Innovation - JJDC, Inc.	10%	C - Cnv Deriv	$0.00	-66.14M	0	-100%	$0

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-07-02	C	A	3,495,575	—	3,495,575	I By Johnson & Johnson Innovation - JJDC, Inc.	—	—	(F1) Each share of preferred stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. Shares of Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.025857287 and shares of Series G Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.0632143218 (in each case, subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the Common Stock. (F2) These securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person.
2	Derivative	Series E-2 Preferred Stock	2021-07-02	C	D	6,451,188	$0.00	0	I By Johnson & Johnson Innovation - JJDC, Inc.	— · — to —	163,123 Common Stock	(F2) These securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person. (F1) Each share of preferred stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. Shares of Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.025857287 and shares of Series G Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.0632143218 (in each case, subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the Common Stock.
3	Derivative	Series D-2 Preferred Stock	2021-07-02	C	D	4,032,259	$0.00	0	I By Johnson & Johnson Innovation - JJDC, Inc.	— · — to —	101,958 Common Stock	(F2) These securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person. (F1) Each share of preferred stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. Shares of Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.025857287 and shares of Series G Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.0632143218 (in each case, subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the Common Stock.
4	Derivative	Series G Preferred Stock	2021-07-02	C	D	48,068,690	$0.00	0	I By Johnson & Johnson Innovation - JJDC, Inc.	— · — to —	3,038,630 Common Stock	(F2) These securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person. (F1) Each share of preferred stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. Shares of Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.025857287 and shares of Series G Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.0632143218 (in each case, subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the Common Stock.
5	Derivative	Series F-2 Preferred Stock	2021-07-02	C	D	7,587,828	$0.00	0	I By Johnson & Johnson Innovation - JJDC, Inc.	— · — to —	191,864 Common Stock	(F2) These securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person. (F1) Each share of preferred stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. Shares of Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.025857287 and shares of Series G Preferred Stock converted into shares of Common Stock at a rate of 1-for-0.0632143218 (in each case, subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the Common Stock.