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