Isaac Zacharias - 27 Dec 2022 Form 4/A - Amendment Insider Report for Shockwave Medical, Inc.

Role
President, CCO
Signature
/s/ Wade Estey, as attorney in fact for Isaac Zacharias
Issuer symbol
N/A
Transactions as of
27 Dec 2022
Net transactions value
-$838,360
Form type
4/A - Amendment
Filing time
21 Mar 2023, 20:17:49 UTC
Date Of Original Report
28 Dec 2022
Previous filing
28 Nov 2022
Next filing
27 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Sale $838,360 -4,000 -4.4% $209.59 87,021 27 Dec 2022 Direct F1, 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
holding SWAV Stock Option 9,222 27 Dec 2022 Common Stock 9,222 $4.03 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sale transaction reported here was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 2/25/2022, amended on 5/23/2022.
F2 All reported securities were sold at a price of $209.59.
F3 Twenty-Five percent of the shares subject to this option vested on 3/1/2019 and the balance of the shares vested in equal monthly installments thereafter for 36 months.

Remarks:

The reporting person previously filed a Form 4 that erroneously reported the exercise of a stock option on December 27, 2022. Such exercise never, in fact, took place. This amendment is being filed to correct: (i) in Table II, Column 9, the number of options remaining on the reporting persons stock option as of December 27, 2022; and (ii) in Table I, Column 5, the number of shares of Common Stock the reporting person owned after the execution of the stock sale he completed on December 27, 2022, which sale was previously reported on the Form 4 amended hereby. Additionally, the reporting persons total in Table I, Column 5 has been corrected in this amendment to include 18,000 restricted stock units which were first awarded to the reporting person on February 1, 2021, but were inadvertently omitted from his total in certain prior Form 4 reports.