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Filing Details

Accession Number:: 0000950103-21-013552
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-02 21:28:37
Reporting Period:: 2021-09-01

Accepted Time:: 2021-09-02 21:28:37
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1642545	Shockwave Medical Inc.	SWAV	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1602773	Dan Puckett	C/O Shockwave Medical, Inc. 5403 Betsy Ross Drive Santa Clara CA 95054	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-09-01	2,249	$17.00	48,037	No	4	M	Direct
Common Stock	Acquisiton	2021-09-01	251	$4.03	48,288	No	4	M	Direct
Common Stock	Disposition	2021-09-01	179	$213.13	48,109	No	4	S	Direct
Common Stock	Disposition	2021-09-01	200	$214.33	47,909	No	4	S	Direct
Common Stock	Disposition	2021-09-01	100	$215.75	47,809	No	4	S	Direct
Common Stock	Disposition	2021-09-01	1,721	$217.49	46,088	No	4	S	Direct
Common Stock	Disposition	2021-09-01	300	$218.14	45,788	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2021-09-01	251	$0.00	251	$4.03
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2021-09-01	2,249	$0.00	2,249	$17.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2,761		2028-07-19	No	4	M	Direct
24,745		2029-03-06	No	4	M	Direct

Footnotes

All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 8/8/2019.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $212.85 to $213.35. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $214.31 to $214.34. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
The reported securities were sold at a price of $215.75
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $216.92 to $217.86. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $218.08 to $218.20. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
1/48th of the shares subject to the option shall vest monthly from 07/19/2018.
1/48th of the shares subject to the option shall vest monthly from 03/06/2019.
The holdings reported on 4/19/2021 for this option were inadvertently reported as 5,066 and should have been reported as 4,724. The holdings in this form are correct.
The holdings reported on 6/1/2021 for this option were inadvertently reported as 31,665 and should have been reported as 30,808. The holdings in this form are correct.