Douglas Godshall - Aug 26, 2020 Form 4/A - Amendment 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 26, 2020
Transactions value $
-$962,381
Form type
4/A - Amendment
Date filed
8/27/2021, 09:24 PM
Date Of Original Report
Aug 27, 2020
Next filing
May 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Options Exercise $58.1K +17K +17.29% $3.42 115K Aug 26, 2020 Direct F1, F2
transaction SWAV Common Stock Sale -$1.02M -17K -14.74% $60.01* 98.4K Aug 26, 2020 Direct F1, F2, F3

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 -17K -1.77% $0.00 946K Aug 26, 2020 Common Stock 17K $3.42 Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On August 27, 2020, the reporting person filed a Form 4 which inadvertently did not include the exercise of an option and sale of shares reported in this Form 4 amendment. The number of shares reported as beneficially owned following this transaction reflects the number of shares owned on August 26, 2020, after giving effect to the transaction reported herein.
F2 This exercise and all sale transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/6/2019.
F3 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $60.00 to $60.08. 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 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.