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