0001209191-22-004499.txt : 20220121
0001209191-22-004499.hdr.sgml : 20220121
20220121185412
ACCESSION NUMBER: 0001209191-22-004499
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220120
FILED AS OF DATE: 20220121
DATE AS OF CHANGE: 20220121
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: 22547109
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-01-20
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
2022-01-20
4
M
0
750
4.03
A
45338
D
Common Stock
2022-01-20
4
M
0
750
17.00
A
46088
D
Common Stock
2022-01-20
4
S
0
318
141.21
D
45770
D
Common Stock
2022-01-20
4
S
0
100
144.40
D
45670
D
Common Stock
2022-01-20
4
S
0
300
146.87
D
45370
D
Common Stock
2022-01-20
4
S
0
400
148.10
D
44970
D
Common Stock
2022-01-20
4
S
0
200
148.92
D
44770
D
Common Stock
2022-01-20
4
S
0
182
149.99
D
44588
D
Stock Option
4.03
2022-01-20
4
M
0
750
0.00
D
2028-07-19
Common Stock
750
1509
D
Stock Option
17.00
2022-01-20
4
M
0
750
0.00
D
2029-03-06
Common Stock
750
17997
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 $140.73 to $141.41. 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 reported securities were sold at a price of $144.40.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $146.60 to $147.09. 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 $147.69 to $148.57. 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 $148.80 to $149.04. 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 $149.90 to $150.09. 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 07/19/2018.
1/48th of the shares subject to the option shall vest monthly from 03/06/2019.
/s/ Wade Estey, as attorney-in-fact for Dan Puckett
2022-01-21