Dan Puckett - Apr 18, 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
Apr 18, 2022
Transactions value $
-$908,852
Form type
4
Date filed
4/20/2022, 05:21 PM
Previous filing
Feb 24, 2022
Next filing
May 27, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Tax liability -$208K -1.01K -2.41% $206.28 40.9K Apr 18, 2022 Direct F1
transaction SWAV Common Stock Options Exercise $1.93K +480 +1.17% $4.03* 41.4K Apr 19, 2022 Direct F2
transaction SWAV Common Stock Options Exercise $37.7K +2.22K +5.36% $17.00* 43.6K Apr 19, 2022 Direct F2
transaction SWAV Common Stock Sale -$369K -1.87K -4.29% $197.20 41.8K Apr 19, 2022 Direct F2, F3
transaction SWAV Common Stock Sale -$203K -1K -2.39% $203.01 40.8K Apr 19, 2022 Direct F2, F4
transaction SWAV Common Stock Sale -$81.8K -400 -0.98% $204.42 40.4K Apr 19, 2022 Direct F2, F5
transaction SWAV Common Stock Sale -$86.7K -420 -1.04% $206.31 39.9K Apr 19, 2022 Direct F2, F6

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 -480 -38.25% $0.00 775 Apr 19, 2022 Common Stock 480 $4.03 Direct F2, F7
transaction SWAV Stock Option Options Exercise $0 -2.22K -15.38% $0.00 12.2K Apr 19, 2022 Common Stock 2.22K $17.00 Direct F2, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 All reported securities were sold at a price of $206.28.
F2 All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 3/9/2022.
F3 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $197.06 to $198.05. 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.
F4 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $202.55 to $203.47. 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 $204.05 to $204.88. 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 $205.78 to $206.70. 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.
F7 1/48th of the shares subject to the option shall vest monthly from 07/19/2018.
F8 1/48th of the shares subject to the option shall vest monthly from 03/06/2019.