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