Filing Details
- Accession Number:
- 0001193805-19-000271
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-11 14:16:52
- Reporting Period:
- 2019-03-11
- Accepted Time:
- 2019-03-11 14:16:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1642545 | Shockwave Medical Inc. | SWAV | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1009258 | Deerfield Management Company, L.p. (Series C) | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1010823 | L.p. Mgmt Deerfield | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1352546 | E James Flynn | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1354395 | Deerfield Special Situations Fund, L.p. | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1603333 | Deerfield Private Design Fund Iii, L.p. | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1610540 | Deerfield Mgmt Iii, L.p. | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes |
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 | 2019-03-11 | 132,740 | $0.00 | 132,740 | No | 4 | C | Indirect | Through Deerfield Private Design Fund III, L.P. |
| Common Stock | Acquisiton | 2019-03-11 | 23,333 | $0.00 | 156,073 | No | 4 | C | Indirect | Through Deerfield Private Design Fund III, L.P. |
| Common Stock | Acquisiton | 2019-03-11 | 132,740 | $0.00 | 132,740 | No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
| Common Stock | Acquisiton | 2019-03-11 | 23,333 | $0.00 | 156,073 | No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
| Common Stock | Acquisiton | 2019-03-11 | 10,000 | $17.00 | 166,073 | No | 4 | P | Indirect | Through Deerfield Private Design Fund III, L.P. |
| Common Stock | Acquisiton | 2019-03-11 | 10,000 | $17.00 | 166,073 | No | 4 | P | Indirect | Through Deerfield Special Situations Fund, L.P. |
| Common Stock | Acquisiton | 2019-03-11 | 10,000 | $17.00 | 10,000 | No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Through Deerfield Private Design Fund III, L.P. |
| No | 4 | C | Indirect | Through Deerfield Private Design Fund III, L.P. |
| No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
| No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
| No | 4 | P | Indirect | Through Deerfield Private Design Fund III, L.P. |
| No | 4 | P | Indirect | Through Deerfield Special Situations Fund, L.P. |
| No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Preferred Stock | Disposition | 2019-03-11 | 1,619,433 | $0.00 | 132,740 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2019-03-11 | 284,659 | $0.00 | 23,333 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2019-03-11 | 1,619,433 | $0.00 | 132,740 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2019-03-11 | 284,659 | $0.00 | 23,333 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019).
- Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019).
- This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
- In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Billionaire Hedge Funds
