0000950103-20-007587.txt : 20200415 0000950103-20-007587.hdr.sgml : 20200415 20200415194541 ACCESSION NUMBER: 0000950103-20-007587 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200413 FILED AS OF DATE: 20200415 DATE AS OF CHANGE: 20200415 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zacharias Isaac CENTRAL INDEX KEY: 0001768265 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 20794815 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 dp126180_4-zacharias.xml FORM 4 X0306 4 2020-04-13 0 0001642545 Shockwave Medical, Inc. SWAV 0001768265 Zacharias Isaac C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 0 1 0 0 Chief Commercial Officer Common Stock 2020-04-13 4 M 0 4000 4.026 A 39000 D Common Stock 2020-04-13 4 S 0 2490 35.0215 D 36510 D Common Stock 2020-04-13 4 S 0 1510 35.8576 D 35000 D Employee Stock Option (Right to Buy) 4.026 2020-04-13 4 M 0 4000 0 D 2028-04-10 Common Stock 4000 119540 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/4/2019. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $34.47 to $35.46. 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 $35.51 to $36.09. 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. Twenty-five percent of the shares subject to the option vested on 3/1/2019 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months. /s/ Trinh Phung, as attorney in fact for Isaac Zacharias 2020-04-15