Laura A. Francis - 16 Feb 2024 Form 4 Insider Report for Shockwave Medical, Inc.

Role
Director
Signature
/s/ Wade Estey, as attorney-in-fact for Laura Francis
Issuer symbol
N/A
Transactions as of
16 Feb 2024
Net transactions value
-$243,412
Form type
4
Filing time
20 Feb 2024, 20:11:26 UTC
Previous filing
05 Jan 2024
Next filing
27 Mar 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Options Exercise $6,588 +1,000 +81% $6.59* 2,233 16 Feb 2024 Direct F1
transaction SWAV Common Stock Gift $0 -1,000 -45% $0.000000 1,233 16 Feb 2024 Direct F1, F2
transaction SWAV Common Stock Gift $0 +1,000 +28% $0.000000 4,551 16 Feb 2024 David and Laura Francis Joint Rev Trust F1, F2, F3
transaction SWAV Common Stock Sale $250,000 -1,000 -22% $250.00 3,551 16 Feb 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 -1,000 -6.2% $0.000000 15,190 16 Feb 2024 Common Stock 1,000 $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.