Douglas Godshall - Feb 21, 2023 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
Feb 21, 2023
Transactions value $
-$7,471,708
Form type
4
Date filed
2/22/2023, 07:17 PM
Previous filing
Feb 3, 2023
Next filing
Apr 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Tax liability -$1.94M -10.1K -6.49% $192.88 145K Feb 21, 2023 Direct F1
transaction SWAV Common Stock Sale -$73.1K -400 -0.28% $182.68 144K Feb 21, 2023 Direct F2, F3
transaction SWAV Common Stock Sale -$478K -2.6K -1.8% $183.93 142K Feb 21, 2023 Direct F2, F4
transaction SWAV Common Stock Sale -$314K -1.7K -1.2% $184.71 140K Feb 21, 2023 Direct F2, F5
transaction SWAV Common Stock Sale -$654K -3.52K -2.51% $186.02 137K Feb 21, 2023 Direct F2, F6
transaction SWAV Common Stock Sale -$764K -4.09K -2.99% $186.86 132K Feb 21, 2023 Direct F2, F7
transaction SWAV Common Stock Sale -$1.7M -9.04K -6.83% $187.79 123K Feb 21, 2023 Direct F2, F8
transaction SWAV Common Stock Sale -$434K -2.3K -1.86% $188.85 121K Feb 21, 2023 Direct F2, F9
transaction SWAV Common Stock Sale -$209K -1.1K -0.91% $190.00 120K Feb 21, 2023 Direct F2, F10
transaction SWAV Common Stock Sale -$248K -1.3K -1.08% $190.92 119K Feb 21, 2023 Direct F2, F11
transaction SWAV Common Stock Sale -$327K -1.7K -1.43% $192.19 117K Feb 21, 2023 Direct F2, F12
transaction SWAV Common Stock Sale -$358K -1.85K -1.58% $193.10 115K Feb 21, 2023 Direct F2, F13
transaction SWAV Common Stock Sale -$77.7K -400 -0.35% $194.17 115K Feb 21, 2023 Direct F2, F14
transaction SWAV Common Stock Options Exercise $102K +30K +26.15% $3.42 145K Feb 21, 2023 Direct F2

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 -30K -7.6% $0.00 365K Feb 21, 2023 Common Stock 30K $3.42 Direct F2, F15
* 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 $192.88.
F2 All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 2/27/2022.
F3 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $182.27 to $183.13. 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.
F4 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $183.28 to $184.27. 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 $184.31 to $185.24. 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 $185.37 to $186.37. 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 $186.37 to $187.36. 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 $187.37 to $188.34. 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 $188.37 to $189.30. 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 $189.57 to $190.40. 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 $190.67 to $191.47. 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.
F12 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $191.70 to $192.65. 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.
F13 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $192.71 to $193.50. 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.
F14 The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $193.95 to $194.50. 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.
F15 Twenty-Five percent of the shares subject to this option vested on 5/9/18 and the balance of the shares vested in equal monthly installments.