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SWAV Shockwave Medical Inc

330.38
0.38 (0.12%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Shockwave Medical Inc NASDAQ:SWAV NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.38 0.12% 330.38 326.81 333.00 331.00 330.00 330.10 810,028 05:00:01

Statement of Changes in Beneficial Ownership (4)

11/06/2020 12:13am

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Zacharias Isaac
2. Issuer Name and Ticker or Trading Symbol

Shockwave Medical, Inc. [ SWAV ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Commercial Officer
(Last)          (First)          (Middle)

C/O SHOCKWAVE MEDICAL, INC., 5403 BETSY ROSS DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

6/10/2020
(Street)

SANTA CLARA, CA 95054
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 6/10/2020  M(1)  4000 A$4.026 38567 D  
Common Stock 6/10/2020  S  4000 D$46.8899 (2)34567 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (Right to Buy) $4.026 6/10/2020  M     4000   (3)4/10/2028 Common Stock 4000 $0 111540 D  

Explanation of Responses:
(1) All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/4/2019.
(2) The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $46.72 to $47.06. 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.
(3) 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Zacharias Isaac
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA, CA 95054


Chief Commercial Officer

Signatures
/s/ Trinh Phung, as attorney-in-fact for Isaac Zacharias6/10/2020
**Signature of Reporting PersonDate

1 Year Shockwave Medical Chart

1 Year Shockwave Medical Chart

1 Month Shockwave Medical Chart

1 Month Shockwave Medical Chart

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