Isaac Zacharias - 14 May 2021 Form 4 Insider Report for Shockwave Medical, Inc.

Role: Chief Commercial Officer
Signature: /s/ Wade Estey, as attorney in fact for Isaac Zacharias
Issuer symbol: N/A
Transactions as of: 14 May 2021
Net transactions value: -$570,116
Form type: 4
Filing time: 17 May 2021, 20:57:35 UTC
Previous filing: 12 Dec 2023
Next filing: 27 May 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SWAV	Common Stock	Options Exercise	$22,613	+3,370	+6.6%	$6.71^*	54,420	14 May 2021	Direct	F1
transaction	SWAV	Common Stock	Sale	$193,901	-1,330	-2.4%	$145.79	53,090	14 May 2021	Direct	F2
transaction	SWAV	Common Stock	Sale	$118,688	-800	-1.5%	$148.36	52,290	14 May 2021	Direct	F3
transaction	SWAV	Common Stock	Sale	$159,772	-1,070	-2%	$149.32	51,220	14 May 2021	Direct	F4
transaction	SWAV	Common Stock	Sale	$120,368	-800	-1.6%	$150.46	50,420	14 May 2021	Direct	F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	SWAV	Employee Stock Option (Right to Buy)	Options Exercise	$0	-3,370	-5%	$0.000000	64,322	14 May 2021	Common Stock	3,370	$6.71	Direct	F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/10/2020.
F2	The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $145.60 to $146.04. 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.
F3	The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $147.98 to $148.74. 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.
F4	The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $148.98 to $149.92. 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.
F5	The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $149.99 to $150.86. 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.
F6	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.