Dan Puckett - Jan 20, 2022 Form 4 Insider Report for Shockwave Medical, Inc. (SWAV)

Signature
/s/ Wade Estey, as attorney-in-fact for Dan Puckett
Stock symbol
SWAV
Transactions as of
Jan 20, 2022
Transactions value $
-$203,955
Form type
4
Date filed
1/21/2022, 05:54 PM
Previous filing
Dec 21, 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 $3.02K +750 +1.68% $4.03* 45.3K Jan 20, 2022 Direct F1
transaction SWAV Common Stock Options Exercise $12.8K +750 +1.65% $17.00* 46.1K Jan 20, 2022 Direct F1
transaction SWAV Common Stock Sale -$44.9K -318 -0.69% $141.21 45.8K Jan 20, 2022 Direct F1, F2
transaction SWAV Common Stock Sale -$14.4K -100 -0.22% $144.40 45.7K Jan 20, 2022 Direct F1, F3
transaction SWAV Common Stock Sale -$44.1K -300 -0.66% $146.87 45.4K Jan 20, 2022 Direct F1, F4
transaction SWAV Common Stock Sale -$59.2K -400 -0.88% $148.10 45K Jan 20, 2022 Direct F1, F5
transaction SWAV Common Stock Sale -$29.8K -200 -0.44% $148.92 44.8K Jan 20, 2022 Direct F1, F6
transaction SWAV Common Stock Sale -$27.3K -182 -0.41% $149.99 44.6K Jan 20, 2022 Direct F1, F7

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 -750 -33.2% $0.00 1.51K Jan 20, 2022 Common Stock 750 $4.03 Direct F1, F8
transaction SWAV Stock Option Options Exercise $0 -750 -4% $0.00 18K Jan 20, 2022 Common Stock 750 $17.00 Direct F1, F9
* 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 8/8/2019.
F2 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $140.73 to $141.41. 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 reported securities were sold at a price of $144.40.
F4 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $146.60 to $147.09. 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 $147.69 to $148.57. 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 $148.80 to $149.04. 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 $149.90 to $150.09. 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 1/48th of the shares subject to the option shall vest monthly from 07/19/2018.
F9 1/48th of the shares subject to the option shall vest monthly from 03/06/2019.