Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed Sep 2, 2021
- Accession no.
- 0000950103-21-013552
- Filed
- Sep 2, 2021
- Trade date
- Sep 1, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $542.3K. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | MOption exerciseAcquired | +2,249 | $17.00 | +$38,233 | 48,037 | Direct | |
| Sep 1, 2021 | Common Stock | MOption exerciseAcquired | +251 | $4.03 | +$1,011.53 | 48,288 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −179 | $213.13 | −$38,150.27 | 48,109 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −200 | $214.33 | −$42,866 | 47,909 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −100 | $215.75 | −$21,575 | 47,809 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −1,721 | $217.49 | −$374,300.29 | 46,088 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −300 | $218.14 | −$65,442 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | MOption exerciseDisposed | −251 | $0.00 | $0 | 2,761 | Direct | |
| Sep 1, 2021 | Common Stock | MOption exerciseDisposed | −2,249 | $0.00 | $0 | 24,745 | 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.