0001642545-24-000081.txt : 20240327 0001642545-24-000081.hdr.sgml : 20240327 20240327200425 ACCESSION NUMBER: 0001642545-24-000081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240326 FILED AS OF DATE: 20240327 DATE AS OF CHANGE: 20240327 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANCIS LAURA CENTRAL INDEX KEY: 0001218802 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 24792961 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] ORGANIZATION NAME: 08 Industrial Applications and Services 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 wk-form4_1711584251.xml FORM 4 X0508 4 2024-03-26 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 1 Common Stock 2024-03-26 4 M 0 1500 6.588 A 2733 D Common Stock 2024-03-26 4 G 0 1500 0 D 1233 D Common Stock 2024-03-26 4 G 0 1500 0 A 5051 I David and Laura Francis Joint Rev Trust Common Stock 2024-03-26 4 S 0 1500 300 D 3551 I David and Laura Francis Joint Rev Trust Stock Option 6.588 2024-03-26 4 M 0 1500 0 D 2029-02-01 Common Stock 1500 13690 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 05/23/2023. Represents a bona fide gift of securities by the reporting person to the David and Laura Francis Joint Revocable Trust in an exempt transaction pursuant to Rule 16b-5. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein. These shares are held in a trust for the benefit of the reporting persons children. The reporting person and the reporting persons spouse are trustees of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Fully vested. /s/ Wade Estey, as attorney-in-fact for Laura Francis 2024-03-27