SEC Form 4 · accession 0000950103-19-003374
ShockWave Medical, Inc. · SWAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
VHCP Management II, LLC
10% Owner
Venrock Management VII, LLC
10% Owner
Venrock Partners VII, L.P.
10% Owner
Venrock Associates VII, L.P.
10% Owner
Bong Y Koh
10% Owner
VHCP Co-Investment Holdings II, LLC
10% Owner
Nimish P Shah
10% Owner
Period of report
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 4:31 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,F4 | Mar 11, 2019 | C | 1,105,529 | — | A | 1,105,529 | I | By Funds |
| Common StockF1,F4 | Mar 11, 2019 | C | 1,016,492 | — | A | 2,122,021 | I | By Funds |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF2,F1,F4 | — | Mar 11, 2019 | C | 1,105,529 | A | — | — | Common Stock | 1,105,529 | 0 | I |
| Series C Convertible Preferred StockF3,F1,F4 | — | Mar 11, 2019 | C | 1,016,492 | A | — | — | Common Stock | 1,016,492 | 0 | I |
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.
- F2Consists of 745,139 shares of convertible preferred stock held by Venrock Associates VII, L.P., 212,500 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 61,725 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 86,165 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
- F3Consists of 382,238 shares of convertible preferred stock held by Venrock Associates VII, L.P., 428,744 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 31,663 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 173,847 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
- F4Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein.