Douglas Godshall - Aug 18, 2021 Form 4 Insider Report for Shockwave Medical, Inc. (SWAV)

Signature
/s/ Wade Estey, as attorney-in-fact for Douglas Godshall
Stock symbol
SWAV
Transactions as of
Aug 18, 2021
Transactions value $
-$8,309,745
Form type
4
Date filed
8/20/2021, 05:01 PM
Previous filing
Jun 23, 2021
Next filing
Nov 22, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Options Exercise $154K +45K +32.88% $3.42 182K Aug 18, 2021 Direct F1
transaction SWAV Common Stock Sale -$313K -1.7K -0.93% $183.89 180K Aug 18, 2021 Direct F1, F2
transaction SWAV Common Stock Sale -$314K -1.7K -0.94% $184.72 178K Aug 18, 2021 Direct F1, F3
transaction SWAV Common Stock Sale -$252K -1.36K -0.76% $185.52 177K Aug 18, 2021 Direct F1, F4
transaction SWAV Common Stock Sale -$1.55M -8.27K -4.67% $186.86 169K Aug 18, 2021 Direct F1, F5
transaction SWAV Common Stock Sale -$2.3M -12.3K -7.27% $187.69 157K Aug 18, 2021 Direct F1, F6
transaction SWAV Common Stock Sale -$1.36M -7.21K -4.61% $188.84 149K Aug 18, 2021 Direct F1, F7
transaction SWAV Common Stock Sale -$1.49M -7.88K -5.28% $189.67 141K Aug 18, 2021 Direct F1, F8
transaction SWAV Common Stock Sale -$667K -3.5K -2.47% $190.66 138K Aug 18, 2021 Direct F1, F9
transaction SWAV Common Stock Sale -$211K -1.1K -0.8% $191.73 137K Aug 18, 2021 Direct F1, 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 Stock Option (Right to Buy) Options Exercise $0 -45K -7.6% $0.00 547K Aug 18, 2021 Common Stock 45K $3.42 Direct F1, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This exercise and all sale transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 12/09/2020.
F2 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $183.07 to $184.06. 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.
F3 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $184.14 to $185.13. 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 $185.18 to $186.17. 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 $186.21 to $187.16. 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 $187.26 to $188.23. 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 $188.27 to $189.25. 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 $189.28 to $190.21. 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 price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $190.31 to $191.15. 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.
F10 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $191.35 to $192.13. 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 this option vested on 5/9/18 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months.