Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed Jan 21, 2022
- Accession no.
- 0001209191-22-004499
- Filed
- Jan 21, 2022
- Trade date
- Jan 20, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 2 derivative transactions. Open-market sales total $219.7K. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 20, 2022 | Common Stock | MOption exerciseAcquired | +750 | $4.03 | +$3,022.5 | 45,338 | Direct | |
| Jan 20, 2022 | Common Stock | MOption exerciseAcquired | +750 | $17.00 | +$12,750 | 46,088 | Direct | |
| Jan 20, 2022 | Common Stock | SSaleDisposed | −318 | $141.21 | −$44,904.78 | 45,770 | Direct | |
| Jan 20, 2022 | Common Stock | SSaleDisposed | −100 | $144.40 | −$14,440 | 45,670 | Direct | |
| Jan 20, 2022 | Common Stock | SSaleDisposed | −300 | $146.87 | −$44,061 | 45,370 | Direct | |
| Jan 20, 2022 | Common Stock | SSaleDisposed | −400 | $148.10 | −$59,240 | 44,970 | Direct | |
| Jan 20, 2022 | Common Stock | SSaleDisposed | −200 | $148.92 | −$29,784 | 44,770 | Direct | |
| Jan 20, 2022 | Common Stock | SSaleDisposed | −182 | $149.99 | −$27,298.18 | 44,588 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 20, 2022 | Common Stock | MOption exerciseDisposed | −750 | $0.00 | $0 | 1,509 | Direct | |
| Jan 20, 2022 | Common Stock | MOption exerciseDisposed | −750 | $0.00 | $0 | 17,997 | 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.