0000950103-20-016249.txt : 20200821 0000950103-20-016249.hdr.sgml : 20200821 20200821215138 ACCESSION NUMBER: 0000950103-20-016249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200820 FILED AS OF DATE: 20200821 DATE AS OF CHANGE: 20200821 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Godshall Douglas Evan CENTRAL INDEX KEY: 0001404227 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 201124470 MAIL ADDRESS: STREET 1: SUITE 4 LEVEL 46 2 PARK STREET CITY: SIDNEY STATE: C3 ZIP: 2000 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 dp134887_4-godshall.xml FORM 4 X0306 4 2020-08-20 0 0001642545 Shockwave Medical, Inc. SWAV 0001404227 Godshall Douglas Evan C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 1 1 0 0 President & CEO Common Stock 2020-08-20 4 M 0 27276 3.416 A 125635 D Common Stock 2020-08-20 4 S 0 27276 60.01 D 98359 D Common Stock 2020-08-21 4 M 0 16750 3.416 A 115109 D Common Stock 2020-08-21 4 S 0 16750 60.02 D 98359 D Stock Option (Right to Buy) 3.416 2020-08-20 4 M 0 27276 0 D 2027-05-09 Common Stock 27276 1037523 D Stock Option (Right to Buy) 3.416 2020-08-21 4 M 0 16750 0 D 2027-05-09 Common Stock 16750 1020773 D This exercise and all sale transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/6/2019. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $60.00 to $60.24. 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 $60.00 to $60.21. 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 this option vested on 5/9/18 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months. /s/ Trinh Phung, as attorney-in-fact for Douglas Godshall 2020-08-21