Laura Francis - Mar 29, 2022 Form 4 Insider Report for Shockwave Medical, Inc. (SWAV)

Role
Director
Signature
/s/ Wade Estey, as attorney-in-fact for Laura Francis
Stock symbol
SWAV
Transactions as of
Mar 29, 2022
Transactions value $
-$820,428
Form type
4
Date filed
3/31/2022, 06:21 PM
Previous filing
Feb 17, 2022
Next filing
May 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Options Exercise $15.2K +2.31K +65.05% $6.59* 5.86K Mar 29, 2022 Direct F1
transaction SWAV Common Stock Gift $0 -2.31K -39.41% $0.00 3.55K Mar 29, 2022 Direct F2
transaction SWAV Common Stock Gift $0 +2.31K $0.00 2.31K Mar 29, 2022 David and Laura Francis Joint Rev Trust F2, F3
transaction SWAV Common Stock Sale -$19K -100 -4.33% $190.37 2.21K Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F4
transaction SWAV Common Stock Sale -$30.8K -160 -7.24% $192.32 2.05K Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F5
transaction SWAV Common Stock Sale -$34.9K -180 -8.78% $193.93 1.87K Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F6
transaction SWAV Common Stock Sale -$129K -659 -35.24% $195.03 1.21K Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F7
transaction SWAV Common Stock Sale -$151K -769 -63.5% $195.91 442 Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F8
transaction SWAV Common Stock Sale -$59.2K -300 -67.87% $197.20 142 Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F9
transaction SWAV Common Stock Sale -$23.8K -120 -84.51% $198.14 22 Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F10
transaction SWAV Common Stock Sale -$4.37K -22 -100% $198.84 0 Mar 29, 2022 David and Laura Francis Joint Rev Trust F1, F3, F11
transaction SWAV Common Stock Options Exercise $12.5K +1.89K +53.22% $6.59* 5.44K Mar 31, 2022 Direct F1
transaction SWAV Common Stock Gift $0 -1.89K -34.74% $0.00 3.55K Mar 31, 2022 Direct F2
transaction SWAV Common Stock Gift $0 +1.89K $0.00 1.89K Mar 31, 2022 David and Laura Francis Joint Rev Trust F2, F3
transaction SWAV Common Stock Sale -$397K -1.89K -100% $210.00 0 Mar 31, 2022 David and Laura Francis Joint Rev Trust F3, F12

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 -2.31K -11.33% $0.00 18.1K Mar 29, 2022 Common Stock 2.31K $6.59 Direct F1, F13
transaction SWAV Stock Option Options Exercise $0 -1.89K -10.45% $0.00 16.2K Mar 31, 2022 Common Stock 1.89K $6.59 Direct F1, F13
* 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 David and Laura Francis Joint Revocable Trust on 2/27/2022.
F2 Represents a bona fide gift of securities by the reporting person to the David and Laura Francis Joint Revocable Trust in an exempt transaction pursuant to Rule 16b-5. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.
F3 These shares are held in a trust for the benefit of the reporting persons children. The reporting persons spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F4 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $189.99 to $190.65. 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 $191.91 to $192.80. 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 $193.39 to $194.35. 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 $194.45 to $195.43. 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 $195.50 to $196.29. 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 $196.63 to $197.60. 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 $197.72 to $198.52. 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 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $198.79 to $199.13. 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.
F12 All reported securities were sold at a price of $210.00.
F13 1/36th of the shares subject to the option shall vest monthly from 1/3/19.