0000950103-21-016222.txt : 20211021 0000950103-21-016222.hdr.sgml : 20211021 20211021170131 ACCESSION NUMBER: 0000950103-21-016222 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211019 FILED AS OF DATE: 20211021 DATE AS OF CHANGE: 20211021 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: 211337644 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 dp160161_4-watkins.xml FORM 4 X0306 4 2021-10-19 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 2021-10-19 4 S 0 495 198.86 D 63307 D Common Stock 2021-10-19 4 S 0 287 199.75 D 63020 D Common Stock 2021-10-19 4 S 0 117 200.83 D 62903 D Common Stock 2021-10-19 4 S 0 320 201.96 D 62583 D Common Stock 2021-10-19 4 S 0 398 202.89 D 62185 D Common Stock 2021-10-19 4 S 0 338 203.81 D 61847 D Common Stock 2021-10-19 4 S 0 45 204.91 D 61802 D Common Stock 2021-10-20 4 S 0 185 195.01 D 61617 D Common Stock 2021-10-20 4 S 0 147 196.58 D 61470 D Common Stock 2021-10-20 4 S 0 325 198.06 D 61145 D Common Stock 2021-10-20 4 S 0 465 198.97 D 60680 D Common Stock 2021-10-20 4 S 0 89 200.08 D 60591 D Common Stock 2021-10-20 4 S 0 417 201.80 D 60174 D Common Stock 2021-10-20 4 S 0 372 202.65 D 59802 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 $198.39 to $199.36. 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 $199.42 to $200.31. 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 $200.47 to $201.45. 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 $201.47 to $202.45. 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 $202.50 to $203.49. 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 $203.50 to $204.39. 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 $204.90 to $204.92. 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 a price of $195.01. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $196.38 to $197.37. 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 $197.45 to $198.42. 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 $198.58 to $199.37. 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 $199.70 to $200.47. 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 $201.20 to $202.16. 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 $202.27 to $202.97. 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. /s/ Wade Estey, as attorney-in-fact for Frank T. Watkins 2021-10-21