Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed Jul 2, 2021
- Accession no.
- 0000950103-21-010076
- Filed
- Jul 2, 2021
- Trade date
- Jul 1, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $473.9K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Puckett DanCIK 0001602773 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +342 | $3.42 | +$1,169.64 | 46,130 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +251 | $4.03 | +$1,011.53 | 46,381 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +1,907 | $17.00 | +$32,419 | 48,288 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −1,181 | $188.83 | −$223,008.23 | 47,107 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −918 | $189.89 | −$174,319.02 | 46,189 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −201 | $190.47 | −$38,284.47 | 45,988 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −200 | $191.36 | −$38,272 | 45,788 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −341 | $0.00 | $0 | 0 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −251 | $0.00 | $0 | 3,605 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −1,908 | $0.00 | $0 | 29,757 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.