Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed Aug 4, 2021
- Accession no.
- 0000950103-21-011929
- Filed
- Aug 4, 2021
- Trade date
- Aug 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 3 derivative transactions. Open-market sales total $440.7K. It was filed 2 days 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Common Stock | MOption exerciseAcquired | +342 | $3.42 | +$1,169.64 | 46,130 | Direct | |
| Aug 2, 2021 | Common Stock | MOption exerciseAcquired | +251 | $4.03 | +$1,011.53 | 46,381 | Direct | |
| Aug 2, 2021 | Common Stock | MOption exerciseAcquired | +1,907 | $17.00 | +$32,419 | 48,288 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −300 | $169.86 | −$50,958 | 47,988 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −275 | $171.17 | −$47,071.75 | 47,713 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −251 | $173.34 | −$43,508.34 | 47,462 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −602 | $176.95 | −$106,523.9 | 46,860 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −672 | $177.90 | −$119,548.8 | 46,188 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −200 | $181.93 | −$36,386 | 45,988 | Direct | |
| Aug 2, 2021 | Common Stock | SSaleDisposed | −200 | $183.69 | −$36,738 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Common Stock | MOption exerciseDisposed | −342 | $0.00 | $0 | 0 | Direct | |
| Aug 2, 2021 | Common Stock | MOption exerciseDisposed | −251 | $0.00 | $0 | 3,012 | Direct | |
| Aug 2, 2021 | Common Stock | MOption exerciseDisposed | −1,907 | $0.00 | $0 | 26,994 | 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.