Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed Feb 24, 2022
- Accession no.
- 0001209191-22-012835
- Filed
- Feb 24, 2022
- Trade date
- Feb 22-23, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.40M. 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Common Stock | MOption exerciseAcquired | +254 | $4.03 | +$1,023.62 | 51,661 | Direct | |
| Feb 22, 2022 | Common Stock | MOption exerciseAcquired | +3,567 | $17.00 | +$60,639 | 55,228 | Direct | |
| Feb 22, 2022 | Common Stock | SSaleDisposed | −3,821 | $140.43 | −$536,583.03 | 51,407 | Direct | |
| Feb 22, 2022 | Common Stock | FTax withholdingDisposed | −3,907 | $140.57 | −$549,206.99 | 47,500 | Direct | |
| Feb 22, 2022 | Common Stock | SSaleDisposed | −2,800 | $150.55 | −$421,540 | 44,700 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −2,762 | $158.76 | −$438,495.12 | 41,938 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Common Stock | MOption exerciseDisposed | −254 | $0.00 | $0 | 1,255 | Direct | |
| Feb 22, 2022 | Common Stock | MOption exerciseDisposed | −3,567 | $0.00 | $0 | 14,430 | 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.