Douglas Godshall - Nov 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
Nov 18, 2021
Transactions value $
-$9,173,940
Form type
4
Date filed
11/22/2021, 08:00 PM
Previous filing
Aug 20, 2021
Next filing
Feb 15, 2022

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 Nov 18, 2021 Direct F1
transaction SWAV Common Stock Sale -$348K -1.7K -0.93% $204.55 180K Nov 18, 2021 Direct F2
transaction SWAV Common Stock Sale -$814K -3.96K -2.2% $205.71 176K Nov 18, 2021 Direct F3
transaction SWAV Common Stock Sale -$3.06M -14.8K -8.41% $206.59 161K Nov 18, 2021 Direct F4
transaction SWAV Common Stock Sale -$2.84M -13.7K -8.49% $207.37 148K Nov 18, 2021 Direct F5
transaction SWAV Common Stock Sale -$1.3M -6.23K -4.22% $208.55 141K Nov 18, 2021 Direct F6
transaction SWAV Common Stock Sale -$792K -3.78K -2.67% $209.60 138K Nov 18, 2021 Direct F7
transaction SWAV Common Stock Sale -$63K -300 -0.22% $210.14 137K Nov 18, 2021 Direct F8
transaction SWAV Common Stock Sale -$106K -500 -0.36% $212.02 137K Nov 18, 2021 Direct F9

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 Options Exercise $0 -45K -8.49% $0.00 485K Nov 18, 2021 Common Stock 45K $3.42 Direct F1, F10
* 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 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 $204.01 to $204.70. 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.
F3 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $205.01 to $206.00. 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 $206.01 to $207.00. 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 $207.01 to $207.99. 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 $208.06 to $209.05. 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 $209.07 to $210.05. 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 $210.09 to $210.15. 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.
F9 The reported securities were sold at a price of $212.02.
F10 Twenty-Five percent of the shares subject to this option vested on 05/09/2018 and the balance of the shares vested in equal monthly installments thereafter for 36 months.