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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

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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	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
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

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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	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	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

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 $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.
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.
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.
1/48th of the shares subject to the option shall vest monthly from 7/21/17.
1/48th of the shares subject to the option shall vest monthly from 7/19/18.
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.