0000950103-21-007575.txt : 20210520
0000950103-21-007575.hdr.sgml : 20210520
20210520210459
ACCESSION NUMBER: 0000950103-21-007575
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210518
FILED AS OF DATE: 20210520
DATE AS OF CHANGE: 20210520
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: 21946360
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
dp151432_4-godshall.xml
FORM 4
X0306
4
2021-05-18
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
2021-05-18
4
M
0
45000
3.416
A
181856
D
Common Stock
2021-05-18
4
S
0
1300
153.78
D
180556
D
Common Stock
2021-05-18
4
S
0
2799
154.70
D
177757
D
Common Stock
2021-05-18
4
S
0
302
155.79
D
177455
D
Common Stock
2021-05-18
4
S
0
1038
156.84
D
176417
D
Common Stock
2021-05-18
4
S
0
5061
158.37
D
171356
D
Common Stock
2021-05-18
4
S
0
6485
159.23
D
164871
D
Common Stock
2021-05-18
4
S
0
21033
160.17
D
143838
D
Common Stock
2021-05-18
4
S
0
6470
161.12
D
137368
D
Common Stock
2021-05-18
4
S
0
512
162.14
D
136856
D
Stock Option (Right to Buy)
3.416
2021-05-18
4
M
0
45000
0
D
2027-05-09
Common Stock
45000
591804
D
This exercise and all sale transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 12/09/2020.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $153.18 to $154.10. 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 $154.34 to $155.26. 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 $155.37 to $155.97. 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 $156.69 to $157.28. 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 $157.71 to $158.70. 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 $158.72 to $159.70. 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 $159.73 to $160.70. 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 $160.75 to $161.65. 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 $161.99 to $162.35. 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/ Wade Estey, as attorney-in-fact for Douglas Godshall
2021-05-20