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CVRx, Inc. — Director's Dealing 2021
Jun 30, 2021
33690_dirs_2021-06-29_cbe3a64c-7dcd-4ce0-ae0f-bd5fa36a7be9.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CVRx, Inc. (CVRX)
CIK: 0001235912
Period of Report: 2021-06-29
Reporting Person: BRINTNALL JOHN (Chief Strategy Officer and Sec)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4945 | Indirect |
| Common Stock | 4681 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series F-2 Preferred Stock | $ | Common Stock (2242) | Direct | ||
| Series G Preferred Stock | $ | Common Stock (5658) | Direct | ||
| Stock Option | $0.237 | 2025-08-06 | Common Stock (1896) | Direct | |
| Stock Option | $0.237 | 2025-08-06 | Common Stock (2275) | Direct | |
| Stock Option | $0.237 | 2025-08-06 | Common Stock (3792) | Direct | |
| Stock Option | $0.237 | 2025-08-06 | Common Stock (3286) | Direct | |
| Stock Option | $0.237 | 2023-11-11 | Common Stock (4771) | Direct | |
| Stock Option | $0.237 | 2024-09-10 | Common Stock (3792) | Direct | |
| Stock Option | $0.237 | 2025-06-30 | Common Stock (1264) | Direct | |
| Stock Option | $0.237 | 2026-09-27 | Common Stock (9735) | Direct | |
| Stock Option | $0.237 | 2028-02-15 | Common Stock (21745) | Direct | |
| Stock Option | $0.237 | 2028-02-15 | Common Stock (23767) | Direct | |
| Stock Option | $3.955 | 2029-07-23 | Common Stock (34134) | Direct | |
| Stock Option | $4.35 | 2030-09-30 | Common Stock (14506) | Direct | |
| Stock Option | $4.35 | 2030-09-30 | Common Stock (14304) | Direct | |
| Stock Option | $4.35 | 2030-09-30 | Common Stock (13006) | Direct | |
| Stock Option | $4.35 | 2030-09-30 | Common Stock (12885) | Direct | |
| Stock Option | $7.119 | 2031-02-03 | Common Stock (18963) | Direct |
Footnotes
F1: Each share of preferred stock is convertible, at the option of the holder, into shares of common stock at the then-effective conversion ratio for no additional consideration and has no expiration date. The shares of preferred stock will automatically convert into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares) upon the closing of the Issuer's initial public offering. 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: Shares of Series F-2 Convertible Preferred Stock are convertible into shares of common stock at a rate of 1-for-0.025857287.
F3: Shares of Series G Convertible Preferred Stock are convertible into shares of common stock at a rate of 1-for-0.0632143218.
F4: Fully exercisable.
F5: Fully exercisable, subject to Issuer's right to repurchase shares at the exercise price, which repurchase right lapsed with respect to 25% of the shares on February 26, 2019 and lapses with respect to the 1/48th of the shares each month thereafter.
F6: Vested as to 25% of the shares on January 28, 2020 and vests as to 1/48th of the shares on the 15th of each month thereafter.
F7: Vested as to 25% of the shares on July 24, 2020 and vests as to 1/48th of the shares each month thereafter.
F8: Vests as to 75% of the shares on October 1, 2020 and as to 1/48th of the shares each month thereafter.
F9: Vests as to 25% of the shares on October 1, 2020 and as to 1/48th of the shares each month thereafter.
F10: Vests as to 25% of the shares on October 1, 2021 and as to 1/48th of the shares each month thereafter.
F11: Vests as to 25% of the shares on February 4, 2022 and as to 1/48th of the shares each month thereafter.