SEC Form 4 · accession 0000950103-19-003372

ShockWave Medical, Inc. · SWAV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Mar 11, 2019

Accepted (ET)

Mar 13, 2019 · 4:29 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
Common Stock^F1	Mar 11, 2019	C	123,657	—	A	123,657	D
Common Stock^F1	Mar 11, 2019	C	114,107	—	A	237,764	D
Common Stock^F1	Mar 11, 2019	C	28,767	—	A	266,531	D
Common Stock^F1	Mar 11, 2019	C	24,347	—	A	290,878	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Convertible Preferred Stock^F1	—	Mar 11, 2019	C	123,657	A	—	—	Common Stock	123,657	D
Series A-1 Convertible Preferred Stock^F1	—	Mar 11, 2019	C	114,107	A	—	—	Common Stock	114,107	D
Series B Convertible Preferred Stock^F1	—	Mar 11, 2019	C	28,767	A	—	—	Common Stock	28,767	D
Series C Convertible Preferred Stock^F1	—	Mar 11, 2019	C	24,347	A	—	—	Common Stock	24,347	D

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.