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Filing Details

Accession Number:: 0001209191-22-021842
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-03-31 18:21:34
Reporting Period:: 2022-03-29

Accepted Time:: 2022-03-31 18:21:34
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
1218802	Laura Francis	C/O Shockwave Medical, Inc. 5403 Betsy Ross Drive Santa Clara CA 95054		Yes	No	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	Explanation
Common Stock	Acquisiton	2022-03-29	2,310	$6.59	5,861	No	4	M	Direct
Common Stock	Disposition	2022-03-29	2,310	$0.00	3,551	No	5	G	Direct
Common Stock	Acquisiton	2022-03-29	2,310	$0.00	2,310	No	5	G	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	100	$190.37	2,210	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	160	$192.32	2,050	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	180	$193.93	1,870	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	659	$195.03	1,211	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	769	$195.91	442	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	300	$197.20	142	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	120	$198.14	22	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-29	22	$198.84	0	No	4	S	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Acquisiton	2022-03-31	1,890	$6.59	5,441	No	4	M	Direct
Common Stock	Disposition	2022-03-31	1,890	$0.00	3,551	No	5	G	Direct
Common Stock	Acquisiton	2022-03-31	1,890	$0.00	1,890	No	5	G	Indirect	David and Laura Francis Joint Rev Trust
Common Stock	Disposition	2022-03-31	1,890	$210.00	0	No	4	S	Indirect	David and Laura Francis Joint Rev Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	5	G	Direct
No	5	G	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust
No	4	M	Direct
No	5	G	Direct
No	5	G	Indirect	David and Laura Francis Joint Rev Trust
No	4	S	Indirect	David and Laura Francis Joint Rev Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option	Disposition	2022-03-29	2,310	$0.00	2,310	$6.59
Common Stock	Stock Option	Disposition	2022-03-31	1,890	$0.00	1,890	$6.59

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
18,080		2029-02-01	No	4	M	Direct
16,190		2029-02-01	No	4	M	Direct

Footnotes

All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the David and Laura Francis Joint Revocable Trust on 2/27/2022.
Represents a bona fide gift of securities by the reporting person to the David and Laura Francis Joint Revocable Trust in an exempt transaction pursuant to Rule 16b-5. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.
These shares are held in a trust for the benefit of the reporting persons children. The reporting persons spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $189.99 to $190.65. 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 $191.91 to $192.80. 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 $193.39 to $194.35. 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 $194.45 to $195.43. 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 $195.50 to $196.29. 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 $196.63 to $197.60. 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 $197.72 to $198.52. 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 $198.79 to $199.13. 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.
All reported securities were sold at a price of $210.00.
1/36th of the shares subject to the option shall vest monthly from 1/3/19.