Shockwave Medical Inc (SWAV)

HEALTH CARE: HEALTH CARE SUPPLIES
SIC: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS

5403 BETSY ROSS DRIVE SANTA CLARA, CA 95054

Shockwave Medical is focused on developing and commercializing products intended to transform the way calcified cardiovascular disease is treated. Shockwave Medical aims to establish a new standard of care for the interventional treatment of atherosclerotic cardiovascular disease through differentiated and proprietary local delivery of sonic pressure waves for the treatment of calcified plaque, which Shockwave Medical refers to as Intravascular Lithotripsy (IVL). IVL is a minimally invasive, easy-to-use and safe way to significantly improve patient outcomes.

Data as of 2021-09-19 13:18:59 -0400
Market Cap7.981 Billion Shares Outstanding35.15 Million Avg 30-day Volume309.983 Thousand
P/E Ratio Dividend Yield EPS
Price/Sales Debt to Equity EBITDA
Price to Book Value0.0 Forward PE-10.47 Enterprise Value
Total Cash Current Debt Gross Profit
BETA1.13901 52-week High/Low237.76 / 66.09 Next Earnings Date2021-11-09 Price to Cash FLow (P/CF) -15434.3149
Data provided by IEX Cloud

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Funds Holding SWAV (via 13F filings)

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

62 Thousand total shares from 50 transactions

Exercise Derivative Conversion (M)

54 Thousand total shares from 8 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

ZACHARIAS ISAAC CHIEF COMMERCIAL OFFICER

  • Officer
55,420 2021-09-15 15

PUCKETT DAN CHIEF FINANCIAL OFFICER

  • Officer
73,294 2021-09-01 17

GODSHALL DOUGLAS EVAN PRESIDENT & CEO

  • Officer
  • Director
683,660 2021-08-18 6

WATKINS FRANK T

  • Director
67,802 2021-08-17 13

LARKIN C RAYMOND JR

  • Director
3,551 2021-06-28 1

FRANCIS LAURA

  • Director
3,551 2021-06-28 3

MOLL FREDERIC H

  • Director
279,429 2021-06-28 1

SAINZ MARIA

  • Director
4,972 2021-06-28 1

PAPIERNIK ANTOINE

  • Director
  • 10% Owner
125,802 2021-06-28 14

TOYLOY SARA

  • Director
2,993 2021-06-28 3

CAHILL COLIN

  • Director
8,496 2021-05-17 1

SOFINNOVA CAPITAL VII FCPR

  • 10% Owner
1,938,848 2020-08-20 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-09-16 16:26:02 -0400 2021-09-15 S 2,699 $221.04 d 55,520 direct -5.7961 0.0 1 -5.7961 2

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-09-16 16:26:02 -0400 2021-09-15 S 1,101 $220.15 d 58,219 direct -5.7961 0.0 1 -5.7961 2

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-09-16 16:26:02 -0400 2021-09-15 S 100 $221.81 d 55,420 direct -5.7961 0.0 1 -5.7961 2

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-09-16 16:26:02 -0400 2021-09-15 S 100 $218.32 d 59,320 direct yes -5.7961 0.0 1 -5.7961 2

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 M 2,249 d 24,745 direct yes

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 S 1,721 $217.49 d 46,088 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 S 179 $213.13 d 48,109 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 M 251 d 2,761 direct yes

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 S 100 $215.75 d 47,809 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 M 251 $4.03 a 48,288 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 S 300 $218.14 d 45,788 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 S 200 $214.33 d 47,909 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-09-02 21:28:37 -0400 2021-09-01 M 2,249 $17.00 a 48,037 direct yes 3.8439 -6.4227 3.8439 2 -6.4227 6

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 M 45,000 d 546,804 direct yes

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 7,882 $189.67 d 141,456 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 8,273 $186.86 d 168,824 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 1,700 $183.89 d 180,156 direct yes 6.7905 10.5642 10.5642 6 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 158 $191.02 d 67,836 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 317 $187.87 d 68,730 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 102 $184.10 d 69,669 direct 2.2916 10.6427 11.7352 5 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 1,100 $191.73 d 136,856 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 7,212 $188.84 d 149,338 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 1,359 $185.52 d 177,097 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 M 45,000 $3.42 a 181,856 direct yes 6.7905 10.5642 10.5642 6 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 188 $190.04 d 67,994 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 559 $186.97 d 69,047 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 31 $183.44 d 69,771 direct 2.2916 10.6427 11.7352 5 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 3,500 $190.66 d 137,956 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 12,274 $187.69 d 156,550 direct yes 6.7905 10.5642 10.5642 6 0.0 1

GODSHALL DOUGLAS EVAN - Director - Officer PRESIDENT & CEO

2021-08-20 17:01:10 -0400 2021-08-18 S 1,700 $184.72 d 178,456 direct yes 6.7905 10.5642 10.5642 6 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 34 $192.00 d 67,802 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 548 $189.03 d 68,182 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-18 S 63 $185.35 d 69,606 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 218 $189.34 d 69,802 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 338 $186.04 d 70,525 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 161 $183.12 d 71,431 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 278 $188.34 d 70,020 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 296 $184.96 d 70,863 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 62 $181.76 d 71,592 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 227 $187.23 d 70,298 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 272 $184.22 d 71,159 direct 2.2916 10.6427 11.7352 5 0.0 1

WATKINS FRANK T - Director

2021-08-19 06:21:04 -0400 2021-08-17 S 148 $180.55 d 71,654 direct yes 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 M 2,437 d 54,176 direct

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 800 $190.08 d 60,090 direct 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 128 $185.04 d 61,792 direct 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 M 2,437 $4.03 a 63,420 direct yes 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 M 1,563 d 54,759 direct

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 102 $188.31 d 60,890 direct 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 600 $183.81 d 61,920 direct 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 M 1,563 $6.71 a 60,983 direct yes 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 670 $190.87 d 59,420 direct 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 800 $187.29 d 60,992 direct 2.2916 10.6427 11.7352 5 0.0 1

ZACHARIAS ISAAC - Officer CHIEF COMMERCIAL OFFICER

2021-08-18 18:03:59 -0400 2021-08-16 S 900 $183.24 d 62,520 direct 2.2916 10.6427 11.7352 5 0.0 1

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 M 342 $3.42 a 46,130 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 M 251 d 3,012 direct yes

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 200 $181.93 d 45,988 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 251 $173.34 d 47,462 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 M 1,907 $17.00 a 48,288 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 M 342 d 0 direct yes

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 672 $177.90 d 46,188 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 275 $171.17 d 47,713 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 M 251 $4.03 a 46,381 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 M 1,907 d 26,994 direct yes

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 200 $183.69 d 45,788 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 602 $176.95 d 46,860 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

PUCKETT DAN - Officer CHIEF FINANCIAL OFFICER

2021-08-04 20:00:10 -0400 2021-08-02 S 300 $169.86 d 47,988 direct yes 1.4424 2.6295 25.957 30.6835 23 -4.4824 4

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
SHOCKWAVE MEDICAL INC SWAV 2021-09-23 13:15:03 UTC -0.1869 0.2569 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-23 12:45:03 UTC -0.1869 0.2569 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 22:15:03 UTC -0.1869 0.2569 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 21:45:03 UTC -0.1869 0.2569 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 21:15:03 UTC -0.1869 0.2569 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 20:45:02 UTC -0.1877 0.2577 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 20:15:03 UTC -0.1877 0.2577 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 19:45:03 UTC -0.1877 0.2577 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 19:15:03 UTC -0.1877 0.2577 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 18:45:03 UTC -0.1883 0.2583 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 18:15:04 UTC -0.1883 0.2583 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 17:45:04 UTC -0.1883 0.2583 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 17:15:03 UTC -0.1883 0.2583 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 16:45:03 UTC -0.192 0.262 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 16:15:03 UTC -0.192 0.262 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 15:45:03 UTC -0.192 0.262 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 15:15:03 UTC -0.192 0.262 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 14:45:03 UTC -0.18 0.25 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 14:15:03 UTC -0.18 0.25 800000
SHOCKWAVE MEDICAL INC SWAV 2021-09-22 13:45:04 UTC -0.18 0.25 800000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
Trust for Professional Managers- Convergence Market Neutral Fund SWAV -1928.0 shares, $-122505.12 2020-08-31 N-PORT
Advanced Series Trust- AST QMA U.S. Equity Alpha Portfolio SWAV -11500.0 shares, $-2181895.0 2021-06-30 N-PORT
Prudential Investment Portfolios 12- PGIM QMA Large-Cap Core Equity Plus Fund SWAV -500.0 shares, $-94865.0 2021-06-30 N-PORT
Blackstone Alternative Investment Funds- Blackstone Alternative Multi-Strategy Fund SWAV -3900.0 shares, $-739947.0 2021-06-30 N-PORT

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