| Accession Number: | 0001209191-23-050331 |
| Date: | 2023-09-20 |
| Issuer: | SHOCKWAVE MEDICAL, INC. (SWAV) |
| Original Submission Date: |
WATKINS FRANK T
C/O SHOCKWAVE MEDICAL, INC.
5403 BETSY ROSS DRIVE
SANTA CLARA, CA 95054
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2023-09-20 | M | 3,000 | a | $3.42 | 4,532 | direct | ||
| COMMON STOCK | 2023-09-20 | S | 3,000 | d | $209.23 | 1,532 | direct |
| 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 Exercisable | Expiration 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION | 3.416 | 2023-09-20 | deemed execution date | M | 3,000 (d) | 2027-05-09 | common stock 3,000 | $3.42 | 99,313 | direct |
| ID | footnote |
|---|---|
| f1 | all transactions reported here were effected pursuant to a rule 10b5-1 plan adopted by the reporting person on 12/7/2022. |
| f2 | the price reported in column 4 is a weighted average price. the reported securities were sold in multiple transactions at prices ranging from $208.75 to $209.72. 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 | twenty-five percent of the shares subject to the option vested on 2/25/18 and the balance of the shares vested in equal monthly installments thereafter for 36 months. |
