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JOHNSON & JOHNSON — Director's Dealing 2021
Jun 30, 2021
29750_dirs_2021-06-29_a3aef55e-52b8-4e10-b2d7-e6d0687cdc5c.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: JOHNSON & JOHNSON (10% Owner)
Reporting Person: Johnson & Johnson Innovation - JJDC, Inc. (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series D-2 Preferred Stock | $ | Common Stock (101958) | Indirect | ||
| Series E-2 Preferred Stock | $ | Common Stock (163123) | Indirect | ||
| Series F-2 Preferred Stock | $ | Common Stock (191864) | Indirect | ||
| Series G Preferred Stock | $ | Common Stock (3038630) | Indirect | ||
| Warrant to Purchase Series G Preferred Stock | $0.4 | Common Stock (607725) | Indirect | ||
| Stock Option (Right to Buy) | $0.237 | 2023-12-14 | Common Stock (237) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2024-11-18 | Common Stock (158) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2025-08-06 | Common Stock (189) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2025-08-06 | Common Stock (165) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2025-08-06 | Common Stock (118) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2025-08-06 | Common Stock (71) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2025-08-06 | Common Stock (23) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2025-11-09 | Common Stock (85) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2027-02-01 | Common Stock (758) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2027-02-01 | Common Stock (489) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2028-02-15 | Common Stock (758) | Indirect | |
| Stock Option (Right to Buy) | $0.237 | 2028-02-15 | Common Stock (300) | Indirect | |
| Stock Option (Right to Buy) | $1.186 | 2028-11-28 | Common Stock (758) | Indirect | |
| Stock Option (Right to Buy) | $1.186 | 2028-11-28 | Common Stock (142) | Indirect | |
| Stock Option (Right to Buy) | $3.955 | 2029-12-05 | Common Stock (758) | Indirect | |
| Stock Option (Right to Buy) | $5.141 | 2031-01-04 | Common Stock (1264) | Indirect |
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-applicable 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 D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock are convertible into shares of Common Stock at a rate of 1-for-0.025857287.
F3: 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.
F4: Shares of Series G Preferred Stock are convertible into shares of Common Stock at a rate of 1-for-0.0632143218.
F5: The Warrant to Purchase Series G Preferred Shares shall become exercisable for Common Stock upon the closing of the Issuer's initial public offering and expires on the earlier of (i) an acquisition or asset transfer involving the Issuer or (ii) 180 days after receipt of the data from a certain clinical trial.
F6: These securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Biosense Webster, Inc., an affiliate of Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person.
F7: Fully vested.
F8: Vests as to 1/48th of the shares each month commencing March 16, 2018.
F9: Vests as to 1/48th of the shares each month commencing December 29, 2018.
F10: Vests as to 1/48th of the shares each month commencing January 6, 2020.
F11: Vests as to 1/48th of the shares each month commencing January 11, 2021.