0000899243-20-012346.txt : 20200507 0000899243-20-012346.hdr.sgml : 20200507 20200507205023 ACCESSION NUMBER: 0000899243-20-012346 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200505 FILED AS OF DATE: 20200507 DATE AS OF CHANGE: 20200507 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARBURG PINCUS & CO. CENTRAL INDEX KEY: 0000929408 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38847 FILM NUMBER: 20858405 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: NEW YORK CITY: NY STATE: NY ZIP: 100173147 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: NEW YORK CITY: NY STATE: NY ZIP: 100173147 FORMER NAME: FORMER CONFORMED NAME: WARBURG PINCUS & CO DATE OF NAME CHANGE: 19940901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARBURG PINCUS LLC CENTRAL INDEX KEY: 0001162870 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38847 FILM NUMBER: 20858406 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-05-05 1 0001397702 Silk Road Medical Inc SILK 0000929408 WARBURG PINCUS & CO. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK, NY 10017 0 0 1 0 0001162870 WARBURG PINCUS LLC C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 Common Stock 2020-05-05 4 S 0 4885078 39.00 D 1021223 D In connection with the Issuer's public offering, 4,733,641 shares were sold by WP X Finance, L.P. ("WP X Finance"), and 151,437 shares were sold by Warburg Pincus X Partners, L.P. ("WPXP"), each to the underwriters of the public offering. Pursuant to an underwritten public offering of the Issuer's common stock (the "Offering"), on May 5, 2020, the Issuer, WP X Finance, WPXP and the underwriters of the Offering (the "Underwriter"), entered into an Underwriting Agreement (the "Underwriting Agreement"). Pursuant to the Underwriting Agreement, WP X Finance and WPXP sold an aggregate of 4,885,078 shares of common stock of the issuer to the Underwriters. The per share sale price reported in this Form 4 does not reflect underwriting discounts. 989,570 of these shares are held by WP X Finance and 31,653 of these shares are held by WPXP. WPX GP, L.P., a Delaware limited partnership ("WPX GP"), is the managing general partner of WP X Finance. Warburg Pincus Private Equity X, L.P., a Delaware limited partnership ("WP X"), is the general partner of WPX GP. Warburg Pincus X, L.P., a Delaware limited partnership ("WPX LP"), is the general partner of WP X and WPXP. Warburg Pincus X GP L.P., a Delaware limited partnership ("WP X GP LP"), is the general partner of WPX LP. WPP GP LLC, a Delaware limited liability company ("WPP GP"), is the general partner of WP X GP LP. Warburg Pincus Partners, L.P., a Delaware limited partnership ("WP Partners"), is the managing member of WPP GP. Warburg Pincus Partners GP LLC, a Delaware limited liability company ("WP Partners GP"), is the general partner of WP Partners. (continuation from footnote 4) Warburg Pincus & Co., a New York general partnership ("WP"), is the managing member of WP Partners GP. Warburg Pincus LLC, a New York limited liability company ("WP LLC") is the manager of WP X Finance, WPXP, and WP X. Due to a 10-filer limitation, this is the first of two Forms 4 filed by entities related to WP X Finance, L.P. See Exhibit 99.1 2020-05-07 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT

                                                                    Exhibit 99.1

                        Signatures of Reporting Persons

                                      WP X FINANCE, L.P.

                                      By: WPX GP, L.P.,
                                      its managing general partner

                                      By: Warburg Pincus Private Equity X, L.P.,
                                      its general partner

                                      By: Warburg Pincus X, L.P.,
                                      its general partner

                                      By: Warburg Pincus X GP L.P.,
                                      its general partner

                                      By: WPP GP LLC,
                                      its general partner

                                      By: Warburg Pincus Partners, L.P.,
                                      its managing member

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner


                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WPX GP, L.P.

                                      By: Warburg Pincus Private Equity X, L.P.,
                                      its general partner

                                      By: Warburg Pincus X, L.P.,
                                      its general partner

                                      By: Warburg Pincus X GP L.P.,
                                      its general partner

                                      By: WPP GP LLC,
                                      its general partner

                                      By: Warburg Pincus Partners, L.P.,
                                      its managing member

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS PRIVATE
                                      EQUITY X, L.P.

                                      By: Warburg Pincus X, L.P.,
                                      its general partner

                                      By: Warburg Pincus X GP L.P.,
                                      its general partner

                                      By: WPP GP LLC,
                                      its general partner

                                      By: Warburg Pincus Partners, L.P.,
                                      its managing member

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS X PARTNERS,
                                      L.P.

                                      By: Warburg Pincus X, L.P.,
                                      its general partner

                                      By: Warburg Pincus X GP L.P.,
                                      its general partner

                                      By: WPP GP LLC,
                                      its general partner

                                      By: Warburg Pincus Partners, L.P.,
                                      its managing member

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS X, L.P.

                                      By: Warburg Pincus X GP L.P.,
                                      its general partner

                                      By: WPP GP LLC,
                                      its general partner

                                      By: Warburg Pincus Partners, L.P.,
                                      its managing member

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS X GP L.P.
                                      By: WPP GP LLC,

                                      its general partner
                                      By: Warburg Pincus Partners, L.P.,

                                      its managing member
                                      By: Warburg Pincus Partners GP LLC,

                                      its general partner
                                      By: Warburg Pincus & Co.,

                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WPP GP LLC

                                      By: Warburg Pincus Partners, L.P.,
                                      its managing member

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                      Name: Robert B. Knauss
                                          --------------------------------------
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS PARTNERS, L.P.

                                      By: Warburg Pincus Partners GP LLC,
                                      its general partner

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS PARTNERS GP
                                      LLC

                                      By: Warburg Pincus & Co.,
                                      its managing member

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS & CO.

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Partner

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person


                                      WARBURG PINCUS LLC

                                      By: /s/ Robert B. Knauss
                                          --------------------------------------
                                      Name: Robert B. Knauss
                                      Title: Managing Director

                                      05/07/2020
                                      ------------------------------------------
                                      Date

                                      **Signature of Reporting Person