Form 4 for CVRX CVRx, Inc.
Accepted 2021-07-06 00:00:00 ET · period of report 2021-07-02 · accession 0001387131-21-007179 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-07-06 | 2021-07-02 | CVRX | GLAXOSMITHKLINE PLC | 10% | C - Cnv Deriv | — | +700.8K | 732.6K | +2,203% | — |
| DI | 2021-07-06 | 2021-07-02 | CVRX | GLAXOSMITHKLINE PLC | 10% | P - Purchase | $18.00 | +275.0K | 1.01M | +38% | +$4.95M |
| DMI | 2021-07-06 | 2021-07-02 | CVRX | GLAXOSMITHKLINE PLC | 10% | C - Cnv Deriv | $0.00 | -12.63M | 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 | 14,917 | — | 61,212 | I See Footnote | — | — | (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |
| 2 | Common | Common Stock | 2021-07-02 | C | A | 12,979 | — | 46,295 | I See Footnote | — | — | (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |
| 3 | Common | Common Stock | 2021-07-02 | C | A | 1,505 | — | 33,316 | I See Footnote | — | — | (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |
| 4 | Common | Common Stock | 2021-07-02 | C | A | 8,380 | — | 69,592 | I See Footnote | — | — | (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |
| 5 | Common | Common Stock | 2021-07-02 | P | A | 275,000 | $18.00 | 1,007,583 | I See Footnote | — | — | (F5) The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of the Reporting Person. |
| 6 | Common | Common Stock | 2021-07-02 | C | A | 27,345 | — | 96,937 | I See Footnote | — | — | (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |
| 7 | Common | Common Stock | 2021-07-02 | C | A | 635,646 | — | 732,583 | I See Footnote | — | — | (F3) The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |
| 8 | Derivative | Series D-2 Preferred Stock | 2021-07-02 | C | D | 589,939 | $0.00 | 0 | I See Footnote | — · — to — | 14,917 Common Stock | (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. |
| 9 | Derivative | Series G Preferred Stock | 2021-07-02 | C | D | 10,055,408 | $0.00 | 0 | I See Footnote | — · — to — | 635,646 Common Stock | (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). (F3) The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. |
| 10 | Derivative | Series F-2 Preferred Stock | 2021-07-02 | C | D | 1,081,434 | $0.00 | 0 | I See Footnote | — · — to — | 27,345 Common Stock | (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. |
| 11 | Derivative | Series B-2 Preferred Stock | 2021-07-02 | C | D | 59,527 | $0.00 | 0 | I See Footnote | — · — to — | 1,505 Common Stock | (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. |
| 12 | Derivative | Series C-2 Preferred Stock | 2021-07-02 | C | D | 513,312 | $0.00 | 0 | I See Footnote | — · — to — | 12,979 Common Stock | (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. |
| 13 | Derivative | Series E-2 Preferred Stock | 2021-07-02 | C | D | 331,399 | $0.00 | 0 | I See Footnote | — · — to — | 8,380 Common Stock | (F4) The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). (F2) The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. |