Watkins Frank T's Form 4/A amendment
AmendedShockwave Medical, Inc. (SWAV) · filed Jan 4, 2024
- Accession no.
- 0001642545-24-000002
- Filed
- Jan 4, 2024
- Trade date
- Jun 20, 2023
- Filing delay
- 198 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jun 21, 2023
This filing lists 1 non-derivative transaction and 1 derivative transaction. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $862.6K. It was filed 198 days after the trade.
This amendment restates part of 0001209191-23-038942 (filed Jun 21, 2023). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Watkins Frank TCIK 0001305831 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 20, 2023 | Common Stock | MOption exerciseAcquired | +3,000 | $3.42 | +$10,260 | 4,532 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 20, 2023 | Common Stock | MOption exerciseDisposed | −3,000 | $0.00 | $0 | 105,313 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-23-038942 (filed Jun 21, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 20, 2023 | Common Stock | SSaleDisposed | −190 | $272.43F2 | −$51,761.7 | 4,342 | Direct | |
| Jun 20, 2023 | Common Stock | SSaleDisposed | −1,610 | $286.70F3 | −$461,587 | 2,732 | Direct | |
| Jun 20, 2023 | Common Stock | SSaleDisposed | −1,200 | $291.02F4 | −$349,224 | 1,532 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
All reported securities were sold at a price of $272.43.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $286.65 to $286.96. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $291.00 to $291.09. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
Referenced by the price of 1 transaction in Table I.
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.
- F1
All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 12/7/2022.
- F2
Fully vested.