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SWAV Shockwave Medical Inc

329.51
0.00 (0.00%)
Pre Market
Last Updated: 09:23:59
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
  0.00 0.00% 329.51 325.63 334.49 0 09:23:59

Statement of Changes in Beneficial Ownership (4)

12/09/2020 12:39am

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 *

Cahill Colin
2. Issuer Name and Ticker or Trading Symbol

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

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

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

9/10/2020
(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 9/10/2020  J(1)  3961 D$0 2701 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

Explanation of Responses:
(1) The shares being transferred were acquired upon exercise of an option that was granted by the issuer to the reporting person, but which the reporting person holds for the benefit of VR Management, LLC. At the time of the grant of the option, the reporting person was a vice president of Venrock. Under the terms of the reporting person's employment agreement with Venrock, the reporting person is deemed to hold the option and any shares acquired thereunder for the exclusive benefit of VR Management, LLC and may vote or dispose of the shares acquired under this option only as directed by VR Management, LLC. The transfer reported here is a transfer to VR Management, LLC under the terms of that employment agreement. Each of the reporting person and VR Management, LLC disclaims beneficial ownership of the option and the shares acquired thereunder except to the extent of his or its pecuniary interest therein.

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



Signatures
/s/ Dan Puckett, as attorney-in-fact for Colin Cahill9/11/2020
**Signature of Reporting PersonDate

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