0001209191-23-020419.txt : 20230321 0001209191-23-020419.hdr.sgml : 20230321 20230321201749 ACCESSION NUMBER: 0001209191-23-020419 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221227 FILED AS OF DATE: 20230321 DATE AS OF CHANGE: 20230321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zacharias Isaac CENTRAL INDEX KEY: 0001768265 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 23751057 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/A 1 doc4a.xml FORM 4/A SUBMISSION X0407 4/A 2022-12-27 2022-12-28 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 President, CCO 0 Common Stock 2022-12-27 4 S 0 4000 209.59 D 87021 D Stock Option 4.026 2028-04-10 Common Stock 9222 9222 D The sale transaction reported here was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 2/25/2022, amended on 5/23/2022. All reported securities were sold at a price of $209.59. Twenty-Five percent of the shares subject to this option vested on 3/1/2019 and the balance of the shares vested in equal monthly installments thereafter for 36 months. The reporting person previously filed a Form 4 that erroneously reported the exercise of a stock option on December 27, 2022. Such exercise never, in fact, took place. This amendment is being filed to correct: (i) in Table II, Column 9, the number of options remaining on the reporting persons stock option as of December 27, 2022; and (ii) in Table I, Column 5, the number of shares of Common Stock the reporting person owned after the execution of the stock sale he completed on December 27, 2022, which sale was previously reported on the Form 4 amended hereby. Additionally, the reporting persons total in Table I, Column 5 has been corrected in this amendment to include 18,000 restricted stock units which were first awarded to the reporting person on February 1, 2021, but were inadvertently omitted from his total in certain prior Form 4 reports. /s/ Wade Estey, as attorney in fact for Isaac Zacharias 2023-03-21