0000950103-21-003463.txt : 20210302 0000950103-21-003463.hdr.sgml : 20210302 20210302210555 ACCESSION NUMBER: 0000950103-21-003463 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210301 FILED AS OF DATE: 20210302 DATE AS OF CHANGE: 20210302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PUCKETT DAN CENTRAL INDEX KEY: 0001602773 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 21706850 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 dp147295_4-puckett.xml FORM 4 X0306 4 2021-03-01 0 0001642545 Shockwave Medical, Inc. SWAV 0001602773 PUCKETT DAN C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 0 1 0 0 Chief Financial Officer Common Stock 2021-03-01 4 M 0 342 3.416 A 51570 D Common Stock 2021-03-01 4 M 0 1658 17 A 53228 D Common Stock 2021-03-01 4 S 0 200 120.21 D 53028 D Common Stock 2021-03-01 4 S 0 200 121.16 D 52828 D Common Stock 2021-03-01 4 S 0 600 122.71 D 52228 D Common Stock 2021-03-01 4 S 0 1000 123.92 D 51228 D Employee Stock Option (Right to Buy) 3.416 2021-03-01 4 M 0 342 0 D 2027-08-03 Common Stock 342 1681 D Employee Stock Option (Right to Buy) 17 2021-03-01 4 M 0 1658 0 D 2029-03-06 Common Stock 1658 45024 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 8/8/2019. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $119.79 to $120.62. 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 $121.03 to $121.29. 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 $122.28 to $123.10. 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 $123.51 to $124.18. 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. 1/48th of the shares subject to the option shall vest monthly from 7/21/17. 1/48th of the shares subject to the option shall vest monthly from 3/11/19. /s/ Wade Estey, as attorney-in-fact for Dan Puckett 2021-03-02