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