Isaac Zacharias - Jul 15, 2021 Form 4 Insider Report for Shockwave Medical, Inc. (SWAV)

Signature
/s/ Wade Estey, as attorney in fact for Isaac Zacharias
Stock symbol
SWAV
Transactions as of
Jul 15, 2021
Transactions value $
-$635,118
Form type
4
Date filed
7/16/2021, 08:18 PM
Previous filing
Jun 16, 2021
Next filing
Aug 18, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Options Exercise $26.8K +4K +6.73% $6.71* 63.4K Jul 15, 2021 Direct F1
transaction SWAV Common Stock Sale -$59.1K -368 -0.58% $160.56 63.1K Jul 15, 2021 Direct F2
transaction SWAV Common Stock Sale -$32.3K -200 -0.32% $161.64 62.9K Jul 15, 2021 Direct F3
transaction SWAV Common Stock Sale -$16.2K -100 -0.16% $162.41 62.8K Jul 15, 2021 Direct F4
transaction SWAV Common Stock Sale -$147K -895 -1.43% $164.28 61.9K Jul 15, 2021 Direct F5
transaction SWAV Common Stock Sale -$99.1K -600 -0.97% $165.15 61.3K Jul 15, 2021 Direct F6
transaction SWAV Common Stock Sale -$167K -1K -1.63% $166.51 60.3K Jul 15, 2021 Direct F7
transaction SWAV Common Stock Sale -$84.2K -500 -0.83% $168.41 59.8K Jul 15, 2021 Direct F8
transaction SWAV Common Stock Sale -$16.9K -100 -0.17% $169.14 59.7K Jul 15, 2021 Direct F9
transaction SWAV Common Stock Sale -$40.6K -237 -0.4% $171.11 59.4K Jul 15, 2021 Direct F10

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 -4K -6.63% $0.00 56.3K Jul 15, 2021 Common Stock 4K $6.71 Direct F11
* 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 $160.30 to $160.92. 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.
F3 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $161.38 to $161.90. 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 reported securities were sold at a price of $162.41
F5 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $163.89 to $164.74. 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.
F6 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $164.96 to $165.40. 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 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $166.01 to $166.75. 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.
F8 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $168.02 to $168.90. 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.
F9 The reported securities were sold at a price of $169.14.
F10 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $171.00 to $171.68. 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.
F11 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.