0000950103-21-010605.txt : 20210716
0000950103-21-010605.hdr.sgml : 20210716
20210716201829
ACCESSION NUMBER: 0000950103-21-010605
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210715
FILED AS OF DATE: 20210716
DATE AS OF CHANGE: 20210716
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zacharias Isaac
CENTRAL INDEX KEY: 0001768265
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38829
FILM NUMBER: 211096604
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
dp154499_4-zacharias.xml
FORM 4
X0306
4
2021-07-15
0
0001642545
Shockwave Medical, Inc.
SWAV
0001768265
Zacharias Isaac
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA
CA
95054
0
1
0
0
Chief Commercial Officer
Common Stock
2021-07-15
4
M
0
4000
6.71
A
63420
D
Common Stock
2021-07-15
4
S
0
368
160.56
D
63052
D
Common Stock
2021-07-15
4
S
0
200
161.64
D
62852
D
Common Stock
2021-07-15
4
S
0
100
162.41
D
62752
D
Common Stock
2021-07-15
4
S
0
895
164.28
D
61857
D
Common Stock
2021-07-15
4
S
0
600
165.15
D
61257
D
Common Stock
2021-07-15
4
S
0
1000
166.51
D
60257
D
Common Stock
2021-07-15
4
S
0
500
168.41
D
59757
D
Common Stock
2021-07-15
4
S
0
100
169.14
D
59657
D
Common Stock
2021-07-15
4
S
0
237
171.11
D
59420
D
Employee Stock Option (Right to Buy)
6.71
2021-07-15
4
M
0
4000
0
D
2028-11-14
Common Stock
4000
56322
D
All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/10/2020.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $160.30 to $160.92. 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. The reported securities were sold in multiple transactions at prices ranging from $161.38 to $161.90. 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 reported securities were sold at a price of $162.41
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $163.89 to $164.74. 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 $164.96 to $165.40. 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 $166.01 to $166.75. 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 $168.02 to $168.90. 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 reported securities were sold at a price of $169.14.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $171.00 to $171.68. 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.
Twenty-five percent of the shares subject to the option vested on 11/9/2019 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months.
/s/ Wade Estey, as attorney in fact for Isaac Zacharias
2021-07-16