CVRx Form 3 / JOHN BRINTNALL ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

BRINTNALL JOHN

(Last)

(First)

(Middle)

9201 W BROADWAY AVE #650

(Street)

MINNEAPOLIS

55445

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/29/2021

3. Issuer Name and Ticker or Trading Symbol
CVRx, Inc. [ CVRX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Strategy Officer and Sec

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	4,945	I	By trust
Common Stock	4,681	I	By spouse's trust

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series F-2 Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	2,242	⁽²⁾	D
Series G Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	5,658	⁽³⁾	D
Stock Option	⁽⁴⁾	08/06/2025	Common Stock	1,896	0.237	D
Stock Option	⁽⁴⁾	08/06/2025	Common Stock	2,275	0.237	D
Stock Option	⁽⁴⁾	08/06/2025	Common Stock	3,792	0.237	D
Stock Option	⁽⁴⁾	08/06/2025	Common Stock	3,286	0.237	D
Stock Option	⁽⁴⁾	11/11/2023	Common Stock	4,771	0.237	D
Stock Option	⁽⁴⁾	09/10/2024	Common Stock	3,792	0.237	D
Stock Option	⁽⁴⁾	06/30/2025	Common Stock	1,264	0.237	D
Stock Option	⁽⁴⁾	09/27/2026	Common Stock	9,735	0.237	D
Stock Option	⁽⁵⁾	02/15/2028	Common Stock	21,745	0.237	D
Stock Option	⁽⁶⁾	02/15/2028	Common Stock	23,767	0.237	D
Stock Option	⁽⁷⁾	07/23/2029	Common Stock	34,134	3.955	D
Stock Option	⁽⁴⁾	09/30/2030	Common Stock	14,506	4.35	D
Stock Option	⁽⁸⁾	09/30/2030	Common Stock	14,304	4.35	D
Stock Option	⁽⁹⁾	09/30/2030	Common Stock	13,006	4.35	D
Stock Option	⁽¹⁰⁾	09/30/2030	Common Stock	12,885	4.35	D
Stock Option	⁽¹¹⁾	02/03/2031	Common Stock	18,963	7.119	D

Explanation of Responses:

1. 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.

2. Shares of Series F-2 Convertible Preferred Stock are convertible into shares of common stock at a rate of 1-for-0.025857287.

3. Shares of Series G Convertible Preferred Stock are convertible into shares of common stock at a rate of 1-for-0.0632143218.

4. Fully exercisable.

5. 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.

6. 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.

7. Vested as to 25% of the shares on July 24, 2020 and vests as to 1/48th of the shares each month thereafter.

8. Vests as to 75% of the shares on October 1, 2020 and as to 1/48th of the shares each month thereafter.

9. Vests as to 25% of the shares on October 1, 2020 and as to 1/48th of the shares each month thereafter.

10. Vests as to 25% of the shares on October 1, 2021 and as to 1/48th of the shares each month thereafter.

11. Vests as to 25% of the shares on February 4, 2022 and as to 1/48th of the shares each month thereafter.

	/s/ Amy C. Seidel, Attorney-in-Fact	06/29/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

CVRx (CVRX) Form 3CVRx / JOHN BRINTNALL ownership change