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Filing Details

Accession Number:
0000950103-20-020208
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-10-16 21:27:24
Reporting Period:
2020-10-15
Accepted Time:
2020-10-16 21:27:24
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-10-15 341 $3.42 37,649 No 4 M Direct
Common Stock Acquisiton 2020-10-15 672 $4.03 38,321 No 4 M Direct
Common Stock Acquisiton 2020-10-15 987 $4.03 39,308 No 4 M Direct
Common Stock Acquisiton 2020-10-15 10,000 $2.20 49,308 No 4 M Direct
Common Stock Disposition 2020-10-15 100 $70.51 49,208 No 4 S Direct
Common Stock Disposition 2020-10-15 500 $72.10 48,708 No 4 S Direct
Common Stock Disposition 2020-10-15 600 $73.22 48,108 No 4 S Direct
Common Stock Disposition 2020-10-15 10,700 $74.49 37,408 No 4 S Direct
Common Stock Disposition 2020-10-15 100 $74.93 37,308 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
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
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2020-10-15 341 $0.00 341 $3.42
Common Stock Employee Stock Option (Right to Buy) Disposition 2020-10-15 672 $0.00 672 $4.03
Common Stock Employee Stock Option (Right to Buy) Disposition 2020-10-15 987 $0.00 987 $4.03
Common Stock Employee Stock Option (Right to Buy) Disposition 2020-10-15 10,000 $0.00 10,000 $2.20
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
6,711 2027-08-03 No 4 M Direct
8,135 2028-07-19 No 4 M Direct
7,148 2028-07-19 No 4 M Direct
5,369 2026-05-18 No 4 M Direct
Footnotes
  1. All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 8/8/2019.
  2. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $71.67 to $72.50. 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.
  3. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $72.87 to $73.77. 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.
  4. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $73.87 to $74.69. 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.
  5. 1/48th of the shares subject to the option shall vest monthly from 7/21/17.
  6. 1/48th of the shares subject to the option shall vest monthly from 7/19/18.
  7. Twenty-Five percent of the shares subject to the option vested on 4/15/17 and the balance of the shares shall vest in equal monthly installments thereafter for 36 months.