0001209191-23-049186.txt : 20230912 0001209191-23-049186.hdr.sgml : 20230912 20230912202004 ACCESSION NUMBER: 0001209191-23-049186 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230908 FILED AS OF DATE: 20230912 DATE AS OF CHANGE: 20230912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Papiernik Antoine CENTRAL INDEX KEY: 0001768408 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 231251381 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 X0508 4 2023-09-08 0 0001642545 Shockwave Medical, Inc. SWAV 0001768408 Papiernik Antoine C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 1 0 0 0 0 Common Stock 2023-09-08 4 J 0 21926 0.00 D 736 D Common Stock 34177 I By Sofinnova Capital VII FCPR Represents a distribution of Common Stock of the Issuer by the reporting person without consideration to Sofinnova Capital VII FCPR ("Sofinnova VII") in accordance with the employment agreement between the reporting person and Sofinnova Partners SAS. Represents shares directly held by Sofinnova VII and includes 21,926 shares received pursuant to the distribution reported hereinabove. The reporting person is one of the managing partners of Sofinnova Partners SAS, a French corporation and the management company of Sofinnova VII. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. /s/ Wade Estey, as attorney-in-fact for Antoine Papiernik 2023-09-12