SEC Form 4 · accession 0000950103-19-003373

ShockWave Medical, Inc. · SWAV

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

Reporting owner

Director · 10% Owner

Period of report

Mar 11, 2019

Accepted (ET)

Mar 13, 2019 · 4:30 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 Stock^F1,F2	Mar 11, 2019	C	2,342,911	—	A	2,342,911	I	See Footnote
Common Stock^F1,F2	Mar 11, 2019	C	1,108,848	—	A	3,451,759	I	See Footnote
Common Stock^F1,F2	Mar 11, 2019	C	592,447	—	A	4,044,206	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A-1 Convertible Preferred Stock^F1,F2	—	Mar 11, 2019	C	2,342,911	A	—	—	Common Stock	2,342,911	I
Series B Convertible Preferred Stock^F1,F2	—	Mar 11, 2019	C	1,108,848	A	—	—	Common Stock	1,108,848	I
Series C Convertible Preferred Stock^F1,F2	—	Mar 11, 2019	C	592,447	A	—	—	Common Stock	592,447	I

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.
F2Antoine Papiernik is one of the managing partners of Sofinnova Partners SAS, a French corporation and the management company of Sofinnova Capital VII FCPR.