DAN PUCKETT - 01 Jun 2021 Form 4 Insider Report for Shockwave Medical, Inc.

Role
Chief Financial Officer
Signature
/s/ Wade Estey, as attorney-in-fact for Dan Puckett
Issuer symbol
N/A
Transactions as of
01 Jun 2021
Net transactions value
-$412,032
Form type
4
Filing time
02 Jun 2021, 20:27:00 UTC
Next filing
02 Jul 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 $1,166 +341 +0.74% $3.42* 46,129 01 Jun 2021 Direct F1
transaction SWAV Common Stock Options Exercise $1,012 +251 +0.54% $4.03* 46,380 01 Jun 2021 Direct F1
transaction SWAV Common Stock Options Exercise $32,436 +1,908 +4.1% $17.00* 48,288 01 Jun 2021 Direct F1
transaction SWAV Common Stock Sale $134,042 -757 -1.6% $177.07 47,531 01 Jun 2021 Direct F1, F2
transaction SWAV Common Stock Sale $104,492 -587 -1.2% $178.01 46,944 01 Jun 2021 Direct F1, F3
transaction SWAV Common Stock Sale $53,587 -299 -0.64% $179.22 46,645 01 Jun 2021 Direct F1, F4
transaction SWAV Common Stock Sale $126,970 -705 -1.5% $180.10 45,940 01 Jun 2021 Direct F1, F5
transaction SWAV Common Stock Sale $27,555 -152 -0.33% $181.28 45,788 01 Jun 2021 Direct F1, F6

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 -341 -50% $0.000000 342 01 Jun 2021 Common Stock 341 $3.42 Direct F1, F7
transaction SWAV Employee Stock Option (Right to Buy) Options Exercise $0 -251 -6.1% $0.000000 3,856 01 Jun 2021 Common Stock 251 $4.03 Direct F1, F8
transaction SWAV Employee Stock Option (Right to Buy) Options Exercise $0 -1,908 -5.7% $0.000000 31,665 01 Jun 2021 Common Stock 1,908 $17.00 Direct F1, F9
* 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 8/8/2019.
F2 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $176.57 to $177.52. 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 $177.60 to $178.34. 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 $178.66 to $179.62. 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 $179.71 to $180.43. 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 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $180.98 to $181.70. 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.
F7 1/48th of the shares subject to the option shall vest monthly from 07/21/2017.
F8 1/48th of the shares subject to the option shall vest monthly from 07/19/2018.
F9 1/48th of the shares subject to the option shall vest monthly from 03/06/2019.