Form4insider filings, from the source

SEC Form 4 · accession 0001193805-19-000271

ShockWave Medical, Inc. · SWAV

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

Reporting owners
Deerfield Mgmt L.P.
10% Owner · Other
James E Flynn
10% Owner · Other
Deerfield Mgmt III, L.P.
10% Owner · Other
Period of report
Mar 11, 2019
Accepted (ET)
Mar 11, 2019 · 2:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001642545

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockF1,F3,F4Mar 11, 2019C132,740—A132,740IThrough Deerfield Private Design Fund III, L.P.
Common StockF2,F3,F4Mar 11, 2019C23,333—A156,073IThrough Deerfield Private Design Fund III, L.P.
Common StockF1,F3,F4Mar 11, 2019C132,740—A132,740IThrough Deerfield Special Situations Fund, L.P.
Common StockF2,F3,F4Mar 11, 2019C23,333—A156,073IThrough Deerfield Special Situations Fund, L.P.
Common StockF3,F4Mar 11, 2019P10,000$17.00A166,073IThrough Deerfield Private Design Fund III, L.P.
Common StockF3,F4Mar 11, 2019P10,000$17.00A166,073IThrough Deerfield Special Situations Fund, L.P.
Common StockF3,F4Mar 11, 2019P10,000$17.00A10,000IThrough Deerfield Partners, L.P.

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Series B Preferred StockF1,F3,F4—Mar 11, 2019C1,619,433D——Common Stock132,7400I
Series C Preferred StockF2,F3,F4—Mar 11, 2019C284,659D——Common Stock23,3330I
Series B Preferred StockF1,F3,F4—Mar 11, 2019C1,619,433D——Common Stock132,7400I
Series C Preferred StockF2,F3,F4—Mar 11, 2019C284,659D——Common Stock23,3330I

Explanation of responses

Remarks

Jonathan Isler, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24 to a Form 3 with regard to Proteon Therapeutics, Inc. filed with the Securities and Exchange Commission on August 4, 2017 by Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P., Deerfield International Master Fund, L.P., Deerfield Private Design Fund III, L.P., Deerfield Private Design Fund IV, L.P., Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Management Company, L.P., and James E. Flynn.