0000950103-21-000658.txt : 20210119 0000950103-21-000658.hdr.sgml : 20210119 20210119204838 ACCESSION NUMBER: 0000950103-21-000658 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210115 FILED AS OF DATE: 20210119 DATE AS OF CHANGE: 20210119 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: 21537156 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 dp144488_4-zacharias.xml FORM 4 X0306 4 2021-01-15 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 2021-01-15 4 M 0 2732 4.026 A 61282 D Common Stock 2021-01-15 4 M 0 1268 6.71 A 62550 D Common Stock 2021-01-15 4 S 0 300 134.25 D 62250 D Common Stock 2021-01-15 4 S 0 1100 135.75 D 61150 D Common Stock 2021-01-15 4 S 0 2600 136.55 D 58550 D Employee Stock Option (Right to Buy) 4.026 2021-01-15 4 M 0 2732 0 D 2028-04-10 Common Stock 2732 39613 D Employee Stock Option (Right to Buy) 6.71 2021-01-15 4 M 0 1268 0 D 2028-11-04 Common Stock 1268 75911 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/10/2020. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $133.97 to $134.67. 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 $135.19 to $136.14. 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 $136.20 to $137.07. 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. Twenty-five percent of the shares subject to the option vested on 11/9/2019 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months. /s/ Wade Estey, as attorney in fact for Isaac Zacharias 2021-01-19