SEC Form 4 · accession 0000950103-19-003370
ShockWave Medical, Inc. · SWAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sofinnova Capital VII FCPR
10% Owner
Period of report
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001642545
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 11, 2019 | C | 2,342,911 | — | A | 2,342,911 | D | |
| Common StockF1 | Mar 11, 2019 | C | 1,108,848 | — | A | 3,451,759 | D | |
| Common StockF1 | Mar 11, 2019 | C | 592,447 | — | A | 4,044,206 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-1 Convertible Preferred StockF1 | — | Mar 11, 2019 | C | 2,342,911 | A | — | — | Common Stock | 2,342,911 | 0 | D |
| Series B Convertible Preferred StockF1 | — | Mar 11, 2019 | C | 1,108,848 | A | — | — | Common Stock | 1,108,848 | 0 | D |
| Series C Convertible Preferred StockF1 | — | Mar 11, 2019 | C | 592,447 | A | — | — | Common Stock | 592,447 | 0 | D |
Explanation of responses
- F1Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.