0000950103-21-009417.txt : 20210625 0000950103-21-009417.hdr.sgml : 20210625 20210625181540 ACCESSION NUMBER: 0000950103-21-009417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210624 FILED AS OF DATE: 20210625 DATE AS OF CHANGE: 20210625 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANCIS LAURA CENTRAL INDEX KEY: 0001218802 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 211049437 MAIL ADDRESS: STREET 1: C/O SI-BONE, INC. STREET 2: 471 EL CAMINO REAL, SUITE 101 CITY: SANTA CLARA STATE: CA ZIP: 95050 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Shockwave Medical, Inc. CENTRAL INDEX KEY: 0001642545 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 270494101 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: (510) 279-4262 MAIL ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 FORMER COMPANY: FORMER CONFORMED NAME: ShockWave Medical, Inc. DATE OF NAME CHANGE: 20150515 4 1 dp153299_4-francis.xml FORM 4 X0306 4 2021-06-24 0 0001642545 Shockwave Medical, Inc. SWAV 0001218802 FRANCIS LAURA C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 1 0 0 0 Common Stock 2021-06-24 4 M 0 1500 6.59 A 1500 I David and Laura Francis Joint Rev Trust Common Stock 2021-06-24 4 S 0 1500 200.00 D 0 I David and Laura Francis Joint Rev Trust Common Stock 2701 D Employee Stock Option (Right to Buy) 6.59 2021-06-24 4 M 0 1500 0 D 2029-02-01 Common Stock 1500 20390 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 5/14/2021. 1/36th of the shares subject to the option shall vest monthly from 1/3/19. /s/ Trinh Phung, as attorney-in-fact for Laura Francis 2021-06-25