Filing Details
- Accession Number:
- 0000950103-19-015423
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-13 18:54:58
- Reporting Period:
- 2019-11-11
- Accepted Time:
- 2019-11-13 18:54:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1768265 | Isaac Zacharias | C/O Shockwave Medical, Inc. 5403 Betsy Ross Drive Santa Clara CA 95054 | Chief Commercial Officer | No | Yes | 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 | 2019-11-11 | 4,000 | $4.03 | 9,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-11 | 1,030 | $34.63 | 7,970 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-11 | 2,970 | $36.02 | 5,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2019-11-11 | 4,000 | $0.00 | 4,000 | $4.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 139,540 | 2028-04-10 | No | 4 | M | Direct |
Footnotes
- All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/4/2019.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $34.10 to $34.97. 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 $35.48 to $36.46. 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.
- Twenty-Five percent of the shares subject to the option vested on 3/1/19 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months.
Billionaire Hedge Funds
