Filing Details
- Accession Number:
- 0000950103-21-007455
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-18 20:38:21
- Reporting Period:
- 2021-05-17
- Accepted Time:
- 2021-05-18 20:38:21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1642545 | Shockwave Medical Inc. | SWAV | Surgical & Medical Instruments & Apparatus (3841) | 270494101 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1768497 | Colin Cahill | C/O Shockwave Medical, Inc. 5403 Betsy Ross Drive Santa Clara CA 95054 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-05-17 | 5,793 | $17.00 | 8,494 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-17 | 634 | $157.38 | 7,860 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-05-17 | 5,159 | $0.00 | 2,701 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | Disposition | 2021-05-17 | 5,793 | $0.00 | 5,793 | $17.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,795 | 2029-03-06 | No | 4 | M | Direct |
Footnotes
- The shares being transferred were acquired upon exercise of an option that was granted by the issuer to the reporting person, but which the reporting person holds for the benefit of VR Management, LLC. At the time of the grant of the option, the reporting person was a vice president of Venrock. Under the terms of the reporting person's employment agreement with Venrock, the reporting person is deemed to hold the option and any shares acquired thereunder for the exclusive benefit of VR Management, LLC and may vote or dispose of the shares acquired under this option only as directed by VR Management, LLC. The transfer reported here is a transfer to VR Management, LLC under the terms of that employment agreement. Each of the reporting person and VR Management, LLC disclaims beneficial ownership of the option and the shares acquired thereunder except to the extent of his or its pecuniary interest therein.
- 1/3rd of the options vest each year beginning on March 11, 2020 until 100% of the options have vested.
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