Puckett Dan's Form 4 filing
Shockwave Medical, Inc. (SWAV) · filed May 27, 2022
- Accession no.
- 0001209191-22-032577
- Filed
- May 27, 2022
- Trade date
- May 20, 2022
- Filing delay
- 7 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $217.9K. It was filed 7 days after the trade, past the 2-business-day deadline.
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 |
|---|---|---|---|---|---|---|---|---|
| May 20, 2022 | Common Stock | MOption exerciseAcquired | +240 | $4.03 | +$967.2 | 40,178 | Direct | |
| May 20, 2022 | Common Stock | MOption exerciseAcquired | +1,110 | $17.00 | +$18,870 | 41,288 | Direct | |
| May 20, 2022 | Common Stock | SSaleDisposed | −1,350 | $161.38F2 | −$217,863 | 41,048 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 20, 2022 | Common Stock | MOption exerciseDisposed | −240 | $0.00 | $0 | 535 | Direct | |
| May 20, 2022 | Common Stock | MOption exerciseDisposed | −1,110 | $0.00 | $0 | 11,100 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
All reported securities were sold at a price of $161.38.
Referenced by the price of 1 transaction in Table I.