Laura Francis - Feb 16, 2024 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
Feb 16, 2024
Transactions value $
-$243,412
Form type
4
Date filed
2/20/2024, 08:11 PM
Previous filing
Jan 5, 2024
Next filing
Mar 27, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Options Exercise $6.59K +1K +81.1% $6.59* 2.23K Feb 16, 2024 Direct F1
transaction SWAV Common Stock Gift $0 -1K -44.78% $0.00 1.23K Feb 16, 2024 Direct F1, F2
transaction SWAV Common Stock Gift $0 +1K +28.16% $0.00 4.55K Feb 16, 2024 David and Laura Francis Joint Rev Trust F1, F2, F3
transaction SWAV Common Stock Sale -$250K -1K -21.97% $250.00 3.55K Feb 16, 2024 David and Laura Francis Joint Rev Trust F1, F3

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 -1K -6.18% $0.00 15.2K Feb 16, 2024 Common Stock 1K $6.59 Direct F1, F4
* 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 05/23/2023.
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 person and the reporting persons spouse are trustees 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 Fully vested.