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