0001209191-22-059519.txt : 20221202 0001209191-22-059519.hdr.sgml : 20221202 20221202201951 ACCESSION NUMBER: 0001209191-22-059519 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221114 FILED AS OF DATE: 20221202 DATE AS OF CHANGE: 20221202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Godshall Douglas Evan CENTRAL INDEX KEY: 0001404227 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 221443539 MAIL ADDRESS: STREET 1: SUITE 4 LEVEL 46 2 PARK STREET CITY: SIDNEY STATE: C3 ZIP: 2000 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/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2022-11-14 2022-11-16 0 0001642545 Shockwave Medical, Inc. SWAV 0001404227 Godshall Douglas Evan C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 1 1 0 0 President & CEO Common Stock 2022-11-14 4 M 0 30000 3.416 A 142926 D Stock Option 3.416 2022-11-14 4 M 0 30000 0.00 D 2027-05-09 Common Stock 30000 394799 D All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 2/27/2022. Twenty-Five percent of the shares subject to this option vested on 5/9/18 and the balance of the shares vested in equal monthly installments. This Form 4 is being amended to correct the following in Table I and Table II, above: (i) add reference to an option exercise on November 14, 2022 of 30,000 shares ; and (ii) correct and restate the aggregate ownership of Common Stock of the Issuer held by the Reporting Person as of November 14, 2022, pursuant to the foregoing correction. /s/ Wade Estey, as attorney-in-fact for Douglas Godshall 2022-12-02