0000950103-21-007524.txt : 20210519 0000950103-21-007524.hdr.sgml : 20210519 20210519214739 ACCESSION NUMBER: 0000950103-21-007524 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210518 FILED AS OF DATE: 20210519 DATE AS OF CHANGE: 20210519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WATKINS FRANK T CENTRAL INDEX KEY: 0001305831 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 21942211 MAIL ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Shockwave Medical, Inc. CENTRAL INDEX KEY: 0001642545 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 270494101 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: (510) 279-4262 MAIL ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 FORMER COMPANY: FORMER CONFORMED NAME: ShockWave Medical, Inc. DATE OF NAME CHANGE: 20150515 4 1 dp151388-watkins.xml FORM 4 X0306 4 2021-05-18 0 0001642545 Shockwave Medical, Inc. SWAV 0001305831 WATKINS FRANK T C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 1 0 0 0 Common Stock 2021-05-18 4 S 0 92 153.29 D 82860 D Common Stock 2021-05-18 4 S 0 90 154.83 D 82770 D Common Stock 2021-05-18 4 S 0 40 156.66 D 82730 D Common Stock 2021-05-18 4 S 0 330 158.59 D 82400 D Common Stock 2021-05-18 4 S 0 789 159.99 D 81611 D Common Stock 2021-05-18 4 S 0 568 160.76 D 81043 D Common Stock 2021-05-18 4 S 0 91 161.68 D 80952 D Common Stock 2021-05-19 4 S 0 86 154.20 D 80866 D Common Stock 2021-05-19 4 S 0 236 156.17 D 80630 D Common Stock 2021-05-19 4 S 0 192 157.80 D 80438 D Common Stock 2021-05-19 4 S 0 481 159.69 D 79957 D Common Stock 2021-05-19 4 S 0 781 160.66 D 79176 D Common Stock 2021-05-19 4 S 0 181 161.51 D 78995 D Common Stock 2021-05-19 4 S 0 43 162.23 D 78952 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on November 16, 2020. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $153.16 to $153.60. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $154.41 to $155.25. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $156.65 to $156.67. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $158.01 to $158.89. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $159.36 to $160.35. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $160.39 to $161.29. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $161.59 to $161.77. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $153.89 to $154.56. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $155.66 to $156.58. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $156.92 to $158.85. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $159.04 to $160.01. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $160.17 to $161.16. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $161.17 to $162.09. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. All of the reported securities in this row were sold at $162.23. /s/ Wade Estey, as attorney-in-fact for Frank T. Watkins 2021-05-19