Form Type: 4

SEC EDGAR Link
Accession Number:0000950103-19-012249
Date:2019-09-09
Issuer: SHOCKWAVE MEDICAL, INC. (SWAV)
Original Submission Date:

Reporting Person:

PUCKETT DAN
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE SANTA CLARA, CA 95054

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-09-09 M 62,974 a $2.20 70,974 direct
COMMON STOCK 2019-09-09 M 8,538 a $3.42 79,512 direct
COMMON STOCK 2019-09-09 M 3,488 a $4.03 83,000 direct
COMMON STOCK 2019-09-09 S 30,467 d $34.33 52,533 direct
COMMON STOCK 2019-09-09 S 43,433 d $34.94 9,100 direct
COMMON STOCK 2019-09-09 S 1,100 d $35.96 8,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 2.196 2019-09-09 deemed execution date M 62,974 (d) 2026-05-18 common stock 62,974 $2.20 84,566 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 3.416 2019-09-09 deemed execution date M 8,538 (d) 2027-08-03 common stock 8,538 $3.42 7,855 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 4.026 2019-09-09 deemed execution date M 3,488 (d) 2028-07-19 common stock 3,488 $4.03 8,807 direct
Footnotes
IDfootnote
f1 all transactions reported here were effected pursuant to a rule 10b5-1 plan adopted by the reporting person on 8/8/2019.
f2 the price reported in column 4 is a weighted average price. the reported securities were sold in multiple transactions at prices ranging from $33.54 to $34.53. 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.
f3 the price reported in column 4 is a weighted average price. the reported securities were sold in multiple transactions at prices ranging from $34.54 to $35.44. 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.
f4 the price reported in column 4 is a weighted average price. the reported securities were sold in multiple transactions at prices ranging from $35.61 to $36.00. 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.
f5 twenty-five percent of the shares subject to the option vested on 4/15/17 and the balance of the shares shall vest in equal monthly installments thereafter for 36 months.
f6 1/48th of the shares subject to the option shall vest monthly from 7/21/17.
f7 1/48th of the shares subject to the option shall vest monthly from 7/19/18.
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