0001209191-23-031794.txt : 20230523
0001209191-23-031794.hdr.sgml : 20230523
20230523202852
ACCESSION NUMBER: 0001209191-23-031794
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230522
FILED AS OF DATE: 20230523
DATE AS OF CHANGE: 20230523
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WATKINS FRANK T
CENTRAL INDEX KEY: 0001305831
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 23950354
MAIL ADDRESS:
STREET 1: 5403 BETSY ROSS DRIVE
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
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
doc4.xml
FORM 4 SUBMISSION
X0407
4
2023-05-22
0
0001642545
Shockwave Medical, Inc.
SWAV
0001305831
WATKINS FRANK T
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
1
0
0
0
0
Common Stock
2023-05-22
4
M
0
3000
3.416
A
6796
D
Common Stock
2023-05-22
4
S
0
963
277.91
D
5833
D
Common Stock
2023-05-22
4
S
0
2037
278.51
D
3796
D
Stock Option
3.416
2023-05-22
4
M
0
3000
0.00
D
2027-05-09
Common Stock
3000
108313
D
All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 12/7/2022.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $277.04 to $278.02. 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 $278.05 to $278.99. 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 2/25/18 and the balance of the shares vested in equal monthly installments
thereafter for 36 months.
s/ Wade Estey, as attorney-in-fact for Frank T. Watkins
2023-05-23