0000950103-19-003374.txt : 20190313
0000950103-19-003374.hdr.sgml : 20190313
20190313163148
ACCESSION NUMBER: 0000950103-19-003374
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190311
FILED AS OF DATE: 20190313
DATE AS OF CHANGE: 20190313
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Associates VII, L.P.
CENTRAL INDEX KEY: 0001614766
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678591
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners II, L.P.
CENTRAL INDEX KEY: 0001602264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678592
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Partners VII, L.P.
CENTRAL INDEX KEY: 0001614765
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678593
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Co-Investment Holdings II, LLC
CENTRAL INDEX KEY: 0001615983
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678594
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Management VII, LLC
CENTRAL INDEX KEY: 0001614686
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678595
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shah Nimish P
CENTRAL INDEX KEY: 0001698082
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678596
BUSINESS ADDRESS:
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK CITY
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Koh Bong Y
CENTRAL INDEX KEY: 0001615979
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678597
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Management II, LLC
CENTRAL INDEX KEY: 0001602263
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 19678598
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
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: 48501 WARM SPRINGS BLVD.
STREET 2: STE. 108
CITY: FREMONT
STATE: CA
ZIP: 94539
BUSINESS PHONE: 510-279-4262
MAIL ADDRESS:
STREET 1: 48501 WARM SPRINGS BLVD.
STREET 2: STE. 108
CITY: FREMONT
STATE: CA
ZIP: 94539
4
1
dp103684_4-venrock.xml
FORM 4
X0306
4
2019-03-11
0
0001642545
ShockWave Medical, Inc.
SWAV
0001614766
Venrock Associates VII, L.P.
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001602264
Venrock Healthcare Capital Partners II, L.P.
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001614765
Venrock Partners VII, L.P.
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001615983
VHCP Co-Investment Holdings II, LLC
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001614686
Venrock Management VII, LLC
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001698082
Shah Nimish P
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001615979
Koh Bong Y
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
0001602263
VHCP Management II, LLC
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
0
1
0
Common Stock
2019-03-11
4
C
0
1105529
A
1105529
I
By Funds
Common Stock
2019-03-11
4
C
0
1016492
A
2122021
I
By Funds
Series B Convertible Preferred Stock
2019-03-11
4
C
0
1105529
A
Common Stock
1105529
0
I
By Funds
Series C Convertible Preferred Stock
2019-03-11
4
C
0
1016492
A
Common Stock
1016492
0
I
By Funds
Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.
Consists of 745,139 shares of convertible preferred stock held by Venrock Associates VII, L.P., 212,500 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 61,725 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 86,165 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
Consists of 382,238 shares of convertible preferred stock held by Venrock Associates VII, L.P., 428,744 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 31,663 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 173,847 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein.
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13
/s/ David L. Stepp, Authorized Signatory
2019-03-13