Douglas Evan Godshall Form 4 Shockwave Medical / Douglas Evan Godshall ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Godshall Douglas Evan

(Last) (First) (Middle)

C/O SHOCKWAVE MEDICAL, INC.

5403 BETSY ROSS DRIVE

(Street)

SANTA CLARA CA 95054

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Shockwave Medical, Inc. [ SWAV ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
President & CEO

3. Date of Earliest Transaction (Month/Day/Year)
05/18/2021

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/18/2021		M(1)		45,000	A	$3.416	181,856	D
Common Stock	05/18/2021		S(1)		1,300	D	$153.78(2)	180,556	D
Common Stock	05/18/2021		S(1)		2,799	D	$154.7(3)	177,757	D
Common Stock	05/18/2021		S(1)		302	D	$155.79(4)	177,455	D
Common Stock	05/18/2021		S(1)		1,038	D	$156.84(5)	176,417	D
Common Stock	05/18/2021		S(1)		5,061	D	$158.37(6)	171,356	D
Common Stock	05/18/2021		S(1)		6,485	D	$159.23(7)	164,871	D
Common Stock	05/18/2021		S(1)		21,033	D	$160.17(8)	143,838	D
Common Stock	05/18/2021		S(1)		6,470	D	$161.12(9)	137,368	D
Common Stock	05/18/2021		S(1)		512	D	$162.14(10)	136,856	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	$3.416	05/18/2021		M(1)			45,000	(11)	05/09/2027	Common Stock	45,000	$0	591,804	D

Explanation of Responses:

1. This exercise and all sale transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 12/09/2020.

2. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $153.18 to $154.10. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

3. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $154.34 to $155.26. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

4. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $155.37 to $155.97. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

5. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $156.69 to $157.28. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

6. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $157.71 to $158.70. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

7. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $158.72 to $159.70. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

8. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $159.73 to $160.70. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

9. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $160.75 to $161.65. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

10. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $161.99 to $162.35. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

11. Twenty-Five percent of the shares subject to this option vested on 5/9/18 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months.

	/s/ Wade Estey, as attorney-in-fact for Douglas Godshall	05/20/2021
	** Signature of Reporting Person	Date
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