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Signature
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/s/ Wade Estey, as attorney-in-fact for Laura Francis
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Stock symbol
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SWAV
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Transactions as of
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Mar 26, 2024
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Transactions value $
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-$440,118
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Form type
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4
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Date filed
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3/27/2024, 08:04 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
SWAV |
Common Stock |
Options Exercise |
$9.88K |
+1.5K |
+121.65% |
$6.59* |
2.73K |
Mar 26, 2024 |
Direct |
F1 |
| transaction |
SWAV |
Common Stock |
Gift |
$0 |
-1.5K |
-54.88% |
$0.00 |
1.23K |
Mar 26, 2024 |
Direct |
F1, F2 |
| transaction |
SWAV |
Common Stock |
Gift |
$0 |
+1.5K |
+42.24% |
$0.00 |
5.05K |
Mar 26, 2024 |
David and Laura Francis Joint Rev Trust |
F1, F2, F3 |
| transaction |
SWAV |
Common Stock |
Sale |
-$450K |
-1.5K |
-29.7% |
$300.00 |
3.55K |
Mar 26, 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 |
-1.5K |
-9.87% |
$0.00 |
13.7K |
Mar 26, 2024 |
Common Stock |
1.5K |
$6.59 |
Direct |
F1, F4 |
* 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: