Trinh Phung - Feb 20, 2024 Form 4 Insider Report for Shockwave Medical, Inc. (SWAV)

Role
VP, Finance
Signature
/s/ Kendra Fox, as attorney-in-fact for Trinh Phung
Stock symbol
SWAV
Transactions as of
Feb 20, 2024
Transactions value $
-$488,410
Form type
4
Date filed
2/22/2024, 08:13 PM
Previous filing
Feb 7, 2024
Next filing
Mar 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SWAV Common Stock Tax liability -$333K -1.3K -3.96% $255.66 31.6K Feb 20, 2024 Direct
transaction SWAV Common Stock Sale -$155K -599 -1.89% $259.24 31K Feb 22, 2024 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

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 09/07/23.