Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed Oct 4, 2021
- Accession no.
- 0000950103-21-015430
- Filed
- Oct 4, 2021
- Trade date
- Oct 1, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 2 derivative transactions. Open-market sales total $488.7K. It was filed 3 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +2,249 | $17.00 | +$38,233 | 48,037 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +251 | $4.03 | +$1,011.53 | 48,288 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −100 | $189.45 | −$18,945 | 48,188 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −600 | $192.39 | −$115,434 | 47,588 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −300 | $193.77 | −$58,131 | 47,288 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −600 | $194.95 | −$116,970 | 46,688 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −100 | $197.15 | −$19,715 | 46,588 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −300 | $198.52 | −$59,556 | 46,288 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −500 | $199.87 | −$99,935 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −251 | $0.00 | $0 | 2,510 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −2,249 | $0.00 | $0 | 22,496 | 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.