0001209191-23-053387.txt : 20231023 0001209191-23-053387.hdr.sgml : 20231023 20231023200117 ACCESSION NUMBER: 0001209191-23-053387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231020 FILED AS OF DATE: 20231023 DATE AS OF CHANGE: 20231023 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: 231340867 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 X0508 4 2023-10-20 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 2023-10-20 4 M 0 3000 3.416 A 4532 D Common Stock 2023-10-20 4 S 0 1800 202.23 D 2732 D Common Stock 2023-10-20 4 S 0 800 203.00 D 1932 D Common Stock 2023-10-20 4 S 0 400 204.18 D 1532 D Stock Option 3.416 2023-10-20 4 M 0 3000 0.00 D 2027-05-09 Common Stock 3000 96313 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 $201.91 to $202.68. 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. All reported securities were sold at a price of $203.00. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $204.06 to $204.53. 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 2023-10-23