Douglas Godshall - Aug 26, 2020 Form 4/A - Amendment Insider Report for Shockwave Medical, Inc. (SWAV)

Role: President & CEO, Director
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.