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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Shockwave Medical, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| June 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-38829 Shockwave Medical, Inc. (Exact name of registrant as specified in |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
Exhibit 99.1 May 31, 2024 U.S. Bank Trust Company, National Association 633 West Fifth Street, 24th Floor Los Angeles, CA 90071 Attention: B. Scarbrough (Shockwave Medical, Inc. Convertible Senior Notes due 2028) The Depository Trust Company Announcements Department 140 58th Street Brooklyn, NY 11220 Attention: Announcement Department Re: Shockwave Medical, Inc. – Notice of Supplemental Indenture, |
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| May 31, 2024 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION SHOCKWAVE MEDICAL, INC. EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SHOCKWAVE MEDICAL, INC. 1. The name of the corporation is: Shockwave Medical, Inc. (the “Corporation”). 2. The address of the registered office in the State of Delaware is: Corporation Trust Center, 1209 Orange Street, Wilmington, New Castle County, Delaware 19801. The name of the registered agent at such address is: The Corpo |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
EX-4.1 Exhibit 4.1 SHOCKWAVE MEDICAL, INC., AS COMPANY, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, AS TRUSTEE First Supplemental Indenture Dated as of May 31, 2024 to the Indenture Dated as of August 15, 2023 FIRST SUPPLEMENTAL INDENTURE This FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of May 31, 2024, is by and between Shockwave Medical, Inc., a Delaware c |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
EX-3.2 Exhibit 3.2 THIRD AMENDED AND RESTATED BYLAWS OF SHOCKWAVE MEDICAL, INC. (THE CORPORATION) INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE Contents ARTICLE I MEETINGS OF SHAREHOLDER(S) - 4 - 1.1 Annual Meeting - 4 - 1.2 Special Meetings - 4 - 1.3 Notices of Meetings - 4 - 1.4 Quorum - 4 - 1.5 Majority Vote Required - 4 - 1.6 Voting - 5 - 1.7 Record Date - 5 - 1.8 Action by Written Unan |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 28, 2024 |
Exhibit 1.01 Shockwave Medical, Inc. Conflict Minerals Report For the Reporting Period January 1, 2023 to December 31, 2023 This Conflict Minerals Report (“CMR”) has been prepared by Shockwave Medical, Inc. (herein referred to, alternatively, as “Shockwave,” “we” and “our”). This CMR for the reporting period January 1, 2023 to December 31, 2023 is presented to comply with the final conflict minera |
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| May 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SHOCKWAVE MEDICAL, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 5403 Betsy Ross Drive, Santa Clara, California 95054 (Address of Principal |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 6, 2024 |
Shockwave Medical Reports First Quarter 2024 Financial Results EXHIBIT 99.1 Shockwave Medical Reports First Quarter 2024 Financial Results SANTA CLARA, Calif., May 06, 2024 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, today reported financial results for the three months ended March 31, 2024. “The solid growth in the f |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| May 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| April 29, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| April 26, 2024 |
Amended and Restated Non-Employee Director Compensation Policy EXHIBIT 10.21 SHOCKWAVE MEDICAL, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This Shockwave Medical, Inc. Amended and Restated Non-Employee Director Compensation Plan (this “Plan”) was originally adopted by the Board of Directors (the “Board”) of Shockwave Medical, Inc. (the “Company”) on February 20, 2019, and was amended and restated on March 29, 2024 and became effective o |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Nu |
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| April 18, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| April 18, 2024 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Schedule 14A (Form Type) Shockwave Medical, Inc. |
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| April 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission F |
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| April 9, 2024 |
Retention Agreement, dated as of April 4, 2024, between Shockwave Medical, Inc. and Isaac Zacharias. Exhibit 10.1 EXECUTION VERSION April 4, 2024 Isaac Zacharias c/o last address on file with the Company Re: Retention Agreement Dear Isaac, In recognition of your leadership skills and experience and in order to promote a successful integration of Shockwave Medical, Inc. (the “Company”) with Johnson & Johnson (“Parent”), we are excited to provide you with the retention opportunity described herein. |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission F |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 5, 2024 |
EX-2.1 EXHIBIT 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among JOHNSON & JOHNSON, SWEEP MERGER SUB, INC. and SHOCKWAVE MEDICAL, INC. Dated as of April 4, 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS & INTERPRETATIONS 5 1.1 Certain Definitions 5 1.2 Additional Definitions 17 1.3 Certain Interpretations 19 ARTICLE II THE MERGER 20 2.1 The Merger 20 2.2 The Closing 20 2.3 The Eff |
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| April 5, 2024 |
EX-99.1 Exhibit 99.1 Johnson & Johnson to Acquire Shockwave Medical Enhances Johnson & Johnson’s Ability to Transform the Treatment Landscape for Cardiovascular Disease and Continue to Improve Patient Outcomes Extends Johnson & Johnson MedTech’s Position in Highest-Growth, Innovation-Oriented Segments of Cardiovascular Intervention Accelerates Sales Growth and Accretive to Operating Margin for Bot |
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| April 5, 2024 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Comm |
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| March 1, 2024 |
EXHIBIT 16.1 March 1, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read Item 4.01 of Form 8-K dated March 1, 2024, of Shockwave Medical, Inc., and are in agreement with the statements contained in paragraphs one through four therein. We have no basis to agree or disagree with other statements of the registrant contained therein. /s/ Ernst & |
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| March 1, 2024 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 26, 2024 |
Form of Global Performance-Based Restricted Stock Unit Award Agreement Exhibit 10.10 SHOCKWAVE MEDICAL, INC. 2019 EQUITY INCENTIVE PLAN NOTICE OF PERFORMANCE-BASED RESTRICTED STOCK UNIT AWARD Except as otherwise indicated, any capitalized term used but not defined in this Notice of Performance-Based Restricted Stock Unit Award (this “Notice”) shall have the meaning ascribed to such term in the Shockwave Medical, Inc. 2019 Equity Incentive Plan (as it may be amended f |
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| February 26, 2024 |
As filed with the Securities and Exchange Commission on February 26, 2024 As filed with the Securities and Exchange Commission on February 26, 2024 Registration No. |
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| February 26, 2024 |
Subsidiaries of the Registrant Exhibit 21.1 SHOCKWAVE MEDICAL, INC. Subsidiary Name Jurisdiction of Incorporation Neovasc Inc. Canada Neovasc Tiara Inc. Canada SWAV CR Sociedad de Responsabilidad Limitada Costa Rica Shockwave Medical France SàRL France Shockwave Medical GmbH Germany Neovasc GmbH Germany Shockwave Medical India Private Limited India Shockwave Medical Ireland Limited Ireland Shockwave Medical Italy S.R.L. Italy S |
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| February 26, 2024 |
Exhibit 10.17 January 16, 2024 Renee Gaeta [private address] VIA EMAIL [private email address] Dear Renee, This offer supersedes all previous offers of employment. On behalf of Shockwave Medical, Inc. (the “Company”), I am pleased to offer you an exempt position of Chief Financial Officer, beginning on February 5, 2024, subject to your appointment by the Company’s board of directors. You will rece |
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| February 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-388 |
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| February 26, 2024 |
Amended and Restated Policy for Recoupment of Incentive Compensation Exhibit 97.1 Shockwave Medical, Inc. Amended and Restated Policy for Recoupment of Incentive Compensation (As Adopted on December 10, 2020 (the “Prior Policy”) and amended on October 12, 2023 (this “Policy”)) The Board has determined that it is in the best interests of the Company and its stockholders to adopt this Policy enabling the Company to recover from specified current and former Company ex |
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| February 26, 2024 |
Consulting Agreement with Dan Puckett Exhibit 10.16 SHOCKWAVE MEDICAL, INC. CONSULTING AGREEMENT This Consulting Agreement (this “Agreement”) is made and entered into as of the date of the last signature below to be effective on and after February 5, 2024 (the “Effective Date”), between Shockwave Medical, Inc., a Delaware corporation with its principal place of business at 5403 Betsy Ross Dr., Santa Clara, CA 95054 (the “Company”), an |
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| February 26, 2024 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Shockwave Medical, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(4) Maximum Aggregate Offering Price(4) Fee Rate Amount of Registration Fee(5) Equity Common Stock, par valu |
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| February 15, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 15, 2024 |
Shockwave Medical Reports Fourth Quarter and Full Year 2023 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Fourth Quarter and Full Year 2023 Financial Results SANTA CLARA, Calif., Feb. 15, 2024 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, today reported financial results for the three months and full year ended December 31, |
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| February 13, 2024 |
SWAV / Shockwave Medical, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01913-shockwavemedicalinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4)* Name of issuer: Shockwave Medical Inc Title of Class of Securities: Common Stock CUSIP Number: 82489T104 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to de |
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| February 8, 2024 |
SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ShockWave Medical, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 82489T104 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2024 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissio |
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| January 29, 2024 |
SHOCKWAVE MEDICAL APPOINTS RENEE GAETA AS CHIEF FINANCIAL OFFICER EXHIBIT 99.1 SHOCKWAVE MEDICAL APPOINTS RENEE GAETA AS CHIEF FINANCIAL OFFICER SANTA CLARA, Calif., Jan. 29, 2024 - Shockwave Medical, Inc. (NASDAQ: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, announced today the appointment of Renee Gaeta as Chief Financial Officer (CFO), effective February 5, 2024. Renee |
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| November 6, 2023 |
Shockwave Medical Reports Third Quarter 2023 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Third Quarter 2023 Financial Results SANTA CLARA, Calif., Nov. 06, 2023 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, today reported financial results for the three months ended September 30, 2023. Recent Highlights Rec |
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| November 6, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissio |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| September 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 8, 2023 Shockwave Medical, Inc. (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-38829 27-0494101 (Comm |
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| August 15, 2023 |
Exhibit 4.1 SHOCKWAVE MEDICAL, INC. 1.00% CONVERTIBLE SENIOR NOTES DUE 2028 INDENTURE DATED AS OF AUGUST 15, 2023 U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, AS TRUSTEE TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01. Definitions 1 Section 1.02. Other Definitions 10 Section 1.03. Rules of Construction 11 Section 1.04. References to Additional Interest 11 |
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| August 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2023 Shockwave Medical, Inc. (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-38829 27-0494101 (Commis |
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| August 15, 2023 |
EX-99.1 Exhibit 99.1 [Dealer name and address] August [ ], 2023 To: Shockwave Medical, Inc. 5403 Betsy Ross Drive Santa Clara, CA 95054 Attention: Trinh Phung Telephone No.: Email address: Re: [Base][Additional] Call Option Transaction The purpose of this letter agreement (this “Confirmation”) is to confirm the terms and conditions of the call option transaction entered into between [ ] (“Dealer”) |
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| August 11, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2023 Shockwave Medical, Inc. (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-38829 27-0494101 (Commis |
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| August 11, 2023 |
EX-99.1 Exhibit 99.1 SHOCKWAVE MEDICAL PRICES UPSIZED PRIVATE OFFERING OF $650.0 MILLION OF 1.00% CONVERTIBLE SENIOR NOTES DUE 2028 Santa Clara, Calif. – August 10, 2023 – Shockwave Medical, Inc. (Nasdaq: SWAV) (“Shockwave Medical”) announced today the pricing of its offering of $650.0 million aggregate principal amount of 1.00% Convertible Senior Notes due 2028 (the “notes”) in a private placemen |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2023 Shockwave Medical, Inc. (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-38829 27-0494101 (Commis |
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| August 10, 2023 |
SHOCKWAVE MEDICAL ANNOUNCES PROPOSED PRIVATE OFFERING OF $500.0 MILLION OF CONVERTIBLE SENIOR NOTES EX-99.1 Exhibit 99.1 SHOCKWAVE MEDICAL ANNOUNCES PROPOSED PRIVATE OFFERING OF $500.0 MILLION OF CONVERTIBLE SENIOR NOTES Santa Clara, Calif. – August 10, 2023 – Shockwave Medical, Inc. (Nasdaq: SWAV) (“Shockwave Medical”) announced today that it intends to offer, subject to market conditions and other factors, $500.0 million aggregate principal amount of Convertible Senior Notes due 2028 (the “not |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 7, 2023 |
Amended and Restated Non-Employee Director Compensation Policy Exhibit 10.1 SHOCKWAVE MEDICAL, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This Shockwave Medical, Inc. Amended and Restated Non-Employee Director Compensation Plan (this “Plan”) was originally adopted by the Board of Directors (the “Board”) of Shockwave Medical, Inc. (the “Company”) on February 20, 2019, and, as amended and restated below, was adopted by the Compensation Co |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| August 7, 2023 |
Shockwave Medical Reports Second Quarter 2023 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Second Quarter 2023 Financial Results SANTA CLARA, Calif., Aug. 07, 2023 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, today reported financial results for the three months ended June 30, 2023. Recent Highlights Recogni |
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| June 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission F |
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| June 1, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| June 1, 2023 |
Execution Version SECOND AMENDMENT TO OFFICE LEASE (NET) THIS SECOND AMENDMENT TO OFFICE LEASE (NET) (this “Second Amendment”) is dated as of May 26, 2023 (the “Effective Date”), by and between BETSY ROSS PROPERTY, LLC, a Delaware limited liability company (“Landlord”), and SHOCKWAVE MEDICAL, INC. |
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| May 26, 2023 |
EX-1.01 2 swav-conflictmineralsrepor.htm EX-1.01 Exhibit 1.01 Shockwave Medical, Inc. Conflict Minerals Report For the Reporting Period January 1, 2022 to December 31, 2022 This Conflict Minerals Report (“CMR”) has been prepared by Shockwave Medical, Inc. (herein referred to, alternatively, as “Shockwave,” “we” and “our”). This CMR for the reporting period January 1, 2022 to December 31, 2022 is p |
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| May 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SHOCKWAVE MEDICAL, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 5403 Betsy Ross Drive, Santa Clara, California 95054 (Addre |
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| May 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| May 17, 2023 |
Press Release issued by Shockwave Medical, Inc., dated May EXHIBIT 99.1 SHOCKWAVE APPOINTS KEVIN BALLINGER TO BOARD OF DIRECTORS Santa Clara, Calif. — May 17, 2023 — Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, announced today that Kevin Ballinger has joined its Board of Directors and will serve on Shockwave’s Nominating and ESG Comm |
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| May 17, 2023 |
SHOCKWAVE APPOINTS KEVIN BALLINGER TO BOARD OF DIRECTORS EXHIBIT 99.1 SHOCKWAVE APPOINTS KEVIN BALLINGER TO BOARD OF DIRECTORS Santa Clara, Calif. — May 17, 2023 — Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of transformational technologies for the treatment of cardiovascular disease, announced today that Kevin Ballinger has joined its Board of Directors and will serve on Shockwave’s Nominating and ESG Comm |
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| May 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| May 8, 2023 |
Shockwave Medical Reports First Quarter 2023 Financial Results EXHIBIT 99.1 Shockwave Medical Reports First Quarter 2023 Financial Results SANTA CLARA, Calif., May 08, 2023 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended March 31, 2023. Recent Highlights |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| April 21, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| April 21, 2023 |
DEFA14A 1 swavdefa14anoticeaccess.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| April 11, 2023 |
SHOCKWAVE MEDICAL COMPLETES ACQUISITION OF NEOVASC EXHIBIT 99.1 SHOCKWAVE MEDICAL COMPLETES ACQUISITION OF NEOVASC SANTA CLARA, CALIF. — April 11, 2023 — Shockwave Medical, Inc. (NASDAQ: SWAV) (“Shockwave”), a pioneer in the development of Intravascular Lithotripsy (“IVL”) to treat severely calcified cardiovascular disease, today announced the completion of its previously announced acquisition of Neovasc Inc. (“Neovasc”). The Neovasc Reducer Syste |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 27, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Shockwave Medical, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(4) Maximum Aggregate Offering Price(4) Fee Rate Amount of Registration Fee(5) Equity Common stock, par valu |
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| February 27, 2023 |
As filed with the Securities and Exchange Commission on February 27, 2023 As filed with the Securities and Exchange Commission on February 27, 2023 Registration No. |
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| February 27, 2023 |
Form of Global Restricted Stock Unit Agreement Exhibit 10.5 SHOCKWAVE MEDICAL, INC. 2019 EQUITY INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD Except as otherwise indicated, any capitalized term used but not defined in this Notice of Restricted Stock Unit Award (this “Notice”) shall have the meaning ascribed to such term in the Shockwave Medical, Inc. 2019 Equity Incentive Plan (as it may be amended from time to time, the “Plan”). Name: |
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| February 27, 2023 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 Exhibit 4.3 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Shockwave Medical, Inc. (“we,” “us,” or “our”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock. DESCRIPTION OF CAPITAL STOCK The following descriptions are summaries of the material terms of our |
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| February 27, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 SHOCKWAVE MEDICAL, INC. The following is a list of subsidiaries of the Company as of December 31, 2022: Subsidiary Name Jurisdiction of Incorporation Shockwave Medical Canada Inc. Canada SWAV CR Sociedad de Responsabilidad Limitada Costa Rica Shockwave Medical France SàRL France Shockwave Medical GmbH Germany Shockwave Medical India Private Limited India Shockwave Medical Ireland Limi |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-388 |
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| February 16, 2023 |
Shockwave Medical Reports Fourth Quarter and Full Year 2022 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Fourth Quarter and Full Year 2022 Financial Results SANTA CLARA, Calif., Feb. 16, 2023 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months and full year ended Dece |
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| February 16, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissi |
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| January 17, 2023 |
EXHIBIT 99.1 SHOCKWAVE MEDICAL ANNOUNCES AGREEMENT TO ACQUIRE NEOVASC Neovasc’s Innovative Reducer System Will Target the Estimated $5 Billion Refractory Angina Market Shockwave Medical Announces Preliminary Fourth Quarter and Full Year 2022 Revenues and Full Year 2023 Revenue Guidance SANTA CLARA, CALIF. — January 17, 2023 — Shockwave Medical, Inc. (NASDAQ: SWAV), a pioneer in the development of |
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| January 17, 2023 |
Arrangement Agreement by and between the Registrant and Neovasc Inc., dated January 16, 2023 Exhibit 2.1 Execution Version SHOCKWAVE MEDICAL, INC. as Purchaser and NEOVASC INC. as Corporation ARRANGEMENT AGREEMENT JANUARY 16, 2023 TABLE OF CONTENTS Article 1 INTERPRETATION 1 Section 1.1 Defined Terms 1 Section 1.2 Certain Rules of Interpretation 22 Section 1.3 Schedules 23 Article 2 THE ARRANGEMENT 23 Section 2.1 Arrangement 23 Section 2.2 Interim Order 23 Section 2.3 Meeting 24 Section 2 |
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| January 17, 2023 |
Form of Noteholder Conversion and Support Agreement. Exhibit 10.2 FORM OF CONVERSION, SUPPORT AND VOTING AGREEMENT THIS AGREEMENT is made as of January [], 2023. BETWEEN: STRUL MEDICAL GROUP LLC ("SMG") - and - SHOCKWAVE MEDICAL, INC., a corporation existing under the laws of the State of Delaware ("Purchaser") - and - NEOVASC INC., a corporation existing under the Canada Business Corporations Act (“Corporation”). WHEREAS SMG is (i) the holder of th |
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| January 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 16, 2023 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissio |
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| January 17, 2023 |
Form of D&O Support Agreement. EX-10.1 3 projectpenstock-ex101formo.htm EX-10.1 Exhibit 10.1 FORM OF SUPPORT AND VOTING AGREEMENT THIS AGREEMENT is made as of January [], 2023. BETWEEN: [●] ("Shareholder") - and - SHOCKWAVE MEDICAL, INC., a corporation existing under the laws of the State of Delaware ("Purchaser") WHEREAS Shareholder is the beneficial owner of [[●] common shares, [●] options to acquire common shares and [●] res |
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| January 10, 2023 |
SWAV / Shockwave Medical Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0009-shockwavemedicalinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Shockwave Medical Inc. Title of Class of Securities: Common Stock CUSIP Number: 82489T104 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to de |
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| December 23, 2022 |
Second Amended and Restated Bylaws Exhibit 3.1 SECOND AMENDED AND RESTATED BYLAWS OF SHOCKWAVE MEDICAL, INC. (the ?Corporation?) Amended and Restated on December 22, 2022 ARTICLE 1 OFFICES Section 1.01. Registered Office. The registered office of the Corporation shall be 1209 Orange Street, City of Wilmington, County of New Castle, DE 19801, State of Delaware. Section 1.02. Other Offices. The Corporation may also have offices at su |
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| December 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 22, 2022 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation or Organiz |
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| November 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| November 7, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissio |
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| November 7, 2022 |
Shockwave Medical Reports Third Quarter 2022 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Third Quarter 2022 Financial Results SANTA CLARA, Calif., Nov. 07, 2022 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended September 30, 2022. Recent Highli |
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| October 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 19, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissio |
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| October 20, 2022 |
Exhibit 10.1 Execution Version $175,000,000 CREDIT AGREEMENT dated as of October 19, 2022, by and among SHOCKWAVE MEDICAL, INC., as Borrower, the Lenders referred to herein, as Lenders, and WELLS FARGO BANK, NATIONAL ASSOCIATION, as Administrative Agent, Swingline Lender and an Issuing Lender WELLS FARGO SECURITIES, LLC, and SILICON VALLEY BANK as Joint Lead Arrangers and Joint Bookrunners SILICON |
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| August 8, 2022 |
Shockwave Medical Reports Second Quarter 2022 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Second Quarter 2022 Financial Results SANTA CLARA, Calif., Aug. 08, 2022 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended June 30, 2022. Recent Highlights |
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| August 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| June 24, 2022 |
Submission of Matters to a Vote of Security Holders 8-K 1 swav8-k5072022annualmeeting.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Ju |
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| May 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SHOCKWAVE MEDICAL, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation or organization ) (Commission File Number) (IRS Employer Identification No.) 5403 Betsy Ross Drive, Santa Clara, California 95054 (Addr |
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| May 31, 2022 |
Exhibit 1.01 Shockwave Medical, Inc. Conflict Minerals Report For the Reporting Period January 1, 2021 to December 31, 2021 This Conflict Minerals Report (?CMR?) has been prepared by Shockwave Medical, Inc. (herein referred to, alternatively, as ?Shockwave,? ?we? and ?our?). This CMR for the reporting period January 1, 2021 to December 31, 2021 is presented to comply with the final conflict minera |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| May 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| May 9, 2022 |
Amended and Restated Form of Separation Pay Agreement for Executive Officers (other than CEO) AMENDED AND RESTATED SEPARATION PAY AGREEMENT This Separation Pay Agreement (the ?Agreement?) is made and entered into as of , 2022, by and between [NAME] (the ?Executive?) and Shockwave Medical, Inc. |
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| May 9, 2022 |
Amended and Restated Separation Pay Agreement with Douglas Godshall AMENDED AND RESTATED SEPARATION PAY AGREEMENT This Separation Pay Agreement (the ?Agreement?) is made and entered into as of March 30, 2022, by and between Doug Godshall (the ?Executive?) and Shockwave Medical, Inc. |
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| May 9, 2022 |
Shockwave Medical Reports First Quarter 2022 Financial Results EXHIBIT 99.1 Shockwave Medical Reports First Quarter 2022 Financial Results SANTA CLARA, Calif., May 09, 2022 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended March 31, 2022. Recent Highlights |
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| May 9, 2022 |
Amended and Restated Non-Employee Director Compensation Policy SHOCKWAVE MEDICAL, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This Shockwave Medical, Inc. Amended and Restated Non-Employee Director Compensation Plan (this ?Plan?) was originally adopted by the Board of Directors (the ?Board?) of Shockwave Medical, Inc. (the ?Company?) on February 20, 2019, and, as amended and restated below, was adopted by the Compensation Committee of th |
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| April 29, 2022 |
DEFA14A 1 d309131ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitt |
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| April 29, 2022 |
DEF 14A 1 d326984ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation) (Commission |
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| February 25, 2022 |
Form of Global Performance-Based Restricted Stock Unit Award Agreement Exhibit 10.6 SHOCKWAVE MEDICAL, INC. 2019 EQUITY INCENTIVE PLAN NOTICE OF PERFORMANCE-BASED RESTRICTED STOCK UNIT AWARD Except as otherwise indicated, any capitalized term used but not defined in this Notice of Performance-Based Restricted Stock Unit Award (this ?Notice?) shall have the meaning ascribed to such term in the Shockwave Medical, Inc. 2019 Equity Incentive Plan (as it may be amended fr |
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| February 25, 2022 |
Amended and Restated Non-Employee Director Compensation Policy Exhibit 10.14 SHOCKWAVE MEDICAL, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This Shockwave Medical, Inc. Amended and Restated Non-Employee Director Compensation Plan (this ?Plan?) was adopted by the Board of Directors (the ?Board?) of Shockwave Medical, Inc. (the ?Company?) on February 20, 2019, and became effective on February 20, 2019. As amended and restated below, this P |
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| February 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-38829 Shockwave Medic |
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| February 25, 2022 |
Subsidiaries of the Registrant Exhibit 21.1 SHOCKWAVE MEDICAL, INC. The following is a list of subsidiaries of the Company as of December 31, 2021: Name Jurisdiction of Incorporation Shockwave Medical GmbH Germany Shockwave Medical UK Limited United Kingdom Shockwave Medical Japan KK Japan Shockwave Medical France SARL France |
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| February 25, 2022 |
Form of Global Restricted Stock Unit Agreement Exhibit 10.5 SHOCKWAVE MEDICAL, INC. 2019 EQUITY INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD Except as otherwise indicated, any capitalized term used but not defined in this Notice of Restricted Stock Unit Award (this ?Notice?) shall have the meaning ascribed to such term in the ShockWave Medical, Inc. 2019 Equity Incentive Plan (as it may be amended from time to time, the ?Plan?). Name: |
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| February 25, 2022 |
EX-FILING FEES 4 swav-exfilingfees37.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Shockwave Medical, Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3) Fee Rate Amoun |
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| February 25, 2022 |
As filed with the Securities and Exchange Commission on February 25, 2022 S-8 1 swav-s8.htm S-8 As filed with the Securities and Exchange Commission on February 25, 2022 Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SHOCKWAVE MEDICAL, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 3841 27-0494101 (State or Other Jurisdiction of Incorporation or Organi |
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| February 25, 2022 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 Exhibit 4.3 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2021, Shockwave Medical, Inc. (?we,? ?us,? or ?our?) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock. DESCRIPTION OF CAPITAL STOCK The following descriptions are summaries of t |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 17, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation) (Commissi |
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| February 17, 2022 |
Shockwave Medical Reports Fourth Quarter and Full Year 2021 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Fourth Quarter and Full Year 2021 Financial Results SANTA CLARA, Calif., Feb. 17, 2022 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months and full year ended Dece |
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| February 17, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 17, 2022 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 14, 2022 |
SWAV / Shockwave Medical Inc / GILDER GAGNON HOWE & CO LLC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. 2)* ShockWave Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 82489T104 (CUSIP Number) December 31, 2021 (Date of |
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| February 10, 2022 |
SWAV / Shockwave Medical Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Shockwave Medical Inc. Title of Class of Securities: Common Stock CUSIP Number: 82489T104 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| November 9, 2021 |
SC 13G/A 1 ShockwaveMedicalInc.htm FILING SHOCKWAVE MEDICAL, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* Shockwave Medical, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 82489T104 (CUSIP Number) October 29, 2021 (Date of Event Which Requires Fi |
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| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| November 8, 2021 |
Shockwave Medical Reports Third Quarter 2021 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Third Quarter 2021 Financial Results SANTA CLARA, Calif., Nov. 08, 2021 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended September 30, 2021. Recent Highli |
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| November 8, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commissio |
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| September 29, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation) (Commiss |
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| September 29, 2021 |
Exhibit 10.2 FIRST AMENDMENT TO OFFICE LEASE (NET) THIS FIRST AMENDMENT TO OFFICE LEASE (NET) (this ?Amendment?) is dated as of September 27, 2021, by and between BETSY ROSS PROPERTY, LLC, a Delaware limited liability company (?Landlord?), and SHOCKWAVE MEDICAL, INC., a Delaware corporation (?Tenant?). RECITALS A. Landlord and Tenant are parties to that certain Office Lease (Net) dated as of Decem |
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| September 29, 2021 |
Exhibit 10.1 OFFICE LEASE (NET) BETWEEN BUNKER HILL LANE PROPERTY, LLC, a Delaware limited liability company, AS LANDLORD, AND SHOCKWAVE MEDICAL, INC., a Delaware corporation, AS TENANT, FOR 3003 BUNKER HILL LANE SANTA CLARA, CALIFORNIA ARTICLE 1 LEASE OF PREMISES 1 ARTICLE 2 DEFINITIONS 1 ARTICLE 3 PREMISES AND DELIVERY OF POSSESSION 9 ARTICLE 4 RENT 9 ARTICLE 5 OPTION TO EXTEND THE LEASE TERM 11 |
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| August 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 9, 2021 |
Shockwave Medical Reports Second Quarter 2021 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Second Quarter 2021 Financial Results SANTA CLARA, Calif., Aug. 09, 2021 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended June 30, 2021. Recent Highlights |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| June 29, 2021 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or other jurisdiction of incorporation) (Commission F |
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| May 10, 2021 |
Amended and Restated Non-Employee Director Compensation Policy Exhibit 10.1 SHOCKWAVE MEDICAL, INC. NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This Shockwave Medical, Inc. Non-Employee Director Compensation Plan (this ?Plan?) was originally adopted by the Board of Directors (the ?Board?) of Shockwave Medical, Inc. (the ?Company?) on February 20, 2019, and, as amended and restated below, was adopted by the Board on March 11, 2021, and became effective on March 11 |
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| May 10, 2021 |
Shockwave Medical Reports First Quarter 2021 Financial Results EXHIBIT 99.1 Shockwave Medical Reports First Quarter 2021 Financial Results SANTA CLARA, Calif., May 10, 2021 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended March 31, 2021. Recent Highlights |
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| May 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240. |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240. |
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| March 30, 2021 |
Exhibit 99.1 Shockwave Provides update on U.S. launch of coronary ivl system Announces Preliminary Revenue Range for the First Quarter of 2021 SANTA CLARA, CALIF. ? March 30, 2021 ? Shockwave Medical, Inc. (NASDAQ: SWAV), a pioneer in the development of Intravascular Lithotripsy (IVL) to treat severely calcified cardiovascular disease, today announced a preliminary forecast revenue range for the f |
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| March 30, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of incorporation) (Commission |
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| March 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2021 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of incorporation) (Commission |
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| March 25, 2021 |
SHOCKWAVE APPOINTS SARA TOYLOY TO BOARD OF DIRECTORS Exhibit 99.1 SHOCKWAVE APPOINTS SARA TOYLOY TO BOARD OF DIRECTORS Santa Clara, Calif. ? March 25, 2021 ? Shockwave Medical, Inc. (NASDAQ: SWAV), a pioneer in the development of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, announced today that Sara Toyloy has joined its Board of Directors and will serve on Shockwave?s Audit Committee. ?I am delighted to welcome |
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| February 26, 2021 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 Exhibit 4.3 DESCRIPTION OF CAPITAL STOCK The following descriptions are summaries of the material terms of our restated certificate of incorporation, amended and restated bylaws, the amended and restated investors? rights agreement to which we and certain of our stockholders are parties and of the Delaware General Corporation Law. Because the following is only a summary, it does not contain all of |
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| February 26, 2021 |
As filed with the Securities and Exchange Commission on February 26, 2021 Registration No. |
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| February 26, 2021 |
Subsidiaries of the Registrant Exhibit 21.1 SHOCKWAVE MEDICAL, INC. The following is a list of subsidiaries of the Company as of December 31, 2020: Name Jurisdiction of Incorporation Shockwave Medical GmbH Germany Shockwave Medical UK Limited United Kingdom Shockwave Medical Japan KK Japan |
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| February 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-38829 Shockwave Medic |
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| February 17, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 17, 2021 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 17, 2021 |
Shockwave Medical Reports Fourth Quarter and Full Year 2020 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Fourth Quarter and Full Year 2020 Financial Results SANTA CLARA, Calif., Feb. 17, 2021 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months and full year ended Dece |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. 1)* ShockWave Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 82489T104 (CUSIP Number) December 31, 2020 (Date of |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Shockwave Medical Inc. Title of Class of Securities: Common Stock CUSIP Number: 82489T104 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| January 15, 2021 |
Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Shockwave Medical, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 82489T104 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
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| November 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 9, 2020 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorpora |
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| November 10, 2020 |
ShockWave Medical, Inc. NasdaqGS:SWAV Exhibit 99.2 ShockWave Medical, Inc. NasdaqGS:SWAV FQ3 2020 Earnings Call Transcripts Monday, November 09, 2020 9:30 PM GMT Corporate Participants Daniel Puckett CFO & Secretary Debbie Kaster Head of Investor Relations Douglas E. Godshall President, CEO & Director Keith D. Dawkins Chief Medical Officer Presentation Operator Good afternoon, and welcome to ShockWave's Third Quarter 2020 Earnings Con |
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| November 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| November 10, 2020 |
Amended and Restated Non-Employee Director Compensation Policy Exhibit 10.1 SHOCKWAVE MEDICAL, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This Shockwave Medical, Inc. Amended and Restated Non-Employee Director Compensation Plan (this ?Plan?) was adopted by the Board of Directors (the ?Board?) of Shockwave Medical, Inc. (the ?Company?) on February 20, 2019, and became effective on February 20, 2019. As amended and restated below, this Pl |
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| November 9, 2020 |
Shockwave Medical Reports Third Quarter 2020 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Third Quarter 2020 Financial Results SANTA CLARA, Calif., Nov. 09, 2020 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended September 30, 2020. Recent Highli |
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| November 9, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 9, 2020 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| September 14, 2020 |
SWAV / ShockWave Medical, Inc. / Sofinnova Capital VII FCPR - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 19, 2020 |
SWAV / ShockWave Medical, Inc. / Sofinnova Capital VII FCPR - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| August 11, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 11, 2020 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 11, 2020 |
Shockwave Medical Reports Second Quarter 2020 Financial Results EXHIBIT 99.1 Shockwave Medical Reports Second Quarter 2020 Financial Results SANTA CLARA, Calif., Aug. 11, 2020 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended June 30, 2020. Recent Highlights |
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| July 20, 2020 |
SHOCKWAVE APPOINTS MARIA SAINZ TO BOARD OF DIRECTORS EX-99.1 2 dp132506ex9901.htm EXHIBIT 99.1 Exhibit 99.1 SHOCKWAVE APPOINTS MARIA SAINZ TO BOARD OF DIRECTORS Santa Clara, Calif. — July 20, 2020 — Shockwave Medical, Inc. (NASDAQ: SWAV), a pioneer in the development of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, announced today that Maria Sainz has joined its Board of Directors and will serve on Shockwave’s Co |
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| July 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 16, 2020 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of incorporation) (Commission |
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| July 15, 2020 |
SWAV / ShockWave Medical, Inc. / Abiomed Inc - SC 13D/A Activist Investment SC 13D/A 1 d32306dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* ShockWave Medical, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 82489T 104 (CUSIP Number) Marc Began, Esq. ABIOMED, Inc. 22 Cherry Hill Drive Danvers, Massachusetts 01 |
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| June 25, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 24, 2020 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of incorporation) (Commission |
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| June 19, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 d933298d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2020 Shockwave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001 - 38829 27-0494101 (State or other jurisdiction of i |
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| June 19, 2020 |
EX-1.1 Exhibit 1.1 1,700,000 Shares SHOCKWAVE MEDICAL, INC. COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT June 16, 2020 1 June 16, 2020 Morgan Stanley & Co. LLC BofA Securities, Inc. c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 Ladies and Gentlemen: Shockwave Medical, Inc., a Delaware corpor |
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| June 17, 2020 |
424B5 Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-239202 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount To Be Registered Maximum Offering Price Per Share Maximum Aggregate Offering Price Amount of Registration Fee(1) Common Stock, $0.001 par value per share 1,955,000 $45.75 $89,441,250.00 $11,609.47 (1) Calculated in accordance |
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| June 16, 2020 |
S-3ASR Table of Contents As filed with the Securities and Exchange Commission on June 16, 2020 Registration No. |
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| June 16, 2020 |
Subject to completion, dated June 16, 2020 424B5 1 d934321d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-239202 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permit |
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| June 16, 2020 |
EX-4.3 Exhibit 4.3 SHOCKWAVE MEDICAL, INC. INDENTURE Dated as of [ ] [ ], as Trustee TABLE OF CONTENTS PAGE ARTICLE 1 Definitions and Incorporation by Reference Section 1.01. Definitions 1 Section 1.02. Other Definitions 5 Section 1.03. Incorporation by Reference of Trust Indenture Act 6 Section 1.04. Rules of Construction 6 ARTICLE 2 The Securities Section 2.01. Issuable in Series 7 Section 2.02. |
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| May 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 Shockwave Medical, Inc. |
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| May 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 f8k051220.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 12, 2020 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Inco |
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| May 12, 2020 |
Shockwave Medical Reports First Quarter 2020 Financial Results EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Shockwave Medical Reports First Quarter 2020 Financial Results SANTA CLARA, Calif., May 12, 2020 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended |
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| April 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 28, 2020 |
DEFA14A 1 swav-defa14a20200428.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commi |
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| April 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2020 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of incorporation) (Commission |
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| March 27, 2020 |
SWAV / ShockWave Medical, Inc. S-8 - - FORM S-8 As filed with the Securities and Exchange Commission on March 27, 2020 Registration No. |
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| March 12, 2020 |
Exhibit 10.2 Execution Version OFFICE LEASE (NET) BETWEEN BETSY ROSS PROPERTY, LLC, a Delaware limited liability company, AS LANDLORD, AND SHOCKWAVE MEDICAL, INC., a Delaware corporation, AS TENANT, FOR GREAT AMERICA TECH CENTER TABLE OF CONTENTS Page ARTICLE 1 LEASE OF PREMISES 1 ARTICLE 2 DEFINITIONS 1 ARTICLE 3 PREMISES AND DELIVERY OF POSSESSION 8 ARTICLE 4 RENT 8 ARTICLE 5 OPTION TO EXTEND TH |
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| March 12, 2020 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 EX-4.3 2 swav-ex43303.htm EX-4.3 Exhibit 4.3 DESCRIPTION OF CAPITAL STOCK The following descriptions are summaries of the material terms of our restated certificate of incorporation, amended and restated bylaws, the amended and restated investors’ rights agreement to which we and certain of our stockholders are parties and of the Delaware General Corporation Law. Because the following is only a su |
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| March 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-38829 ShockWave Medic |
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| March 12, 2020 |
Subsidiaries of the Registrant EX-21.1 5 swav-ex211305.htm EX-21.1 Exhibit 21.1 SHOCKWAVE MEDICAL, INC. The following is a list of subsidiaries of the Company as of December 31, 2019: Name Jurisdiction of Incorporation Shockwave Medical GmbH Germany |
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| March 12, 2020 |
First Amendment to Loan and Security Agreement EX-10.15 4 swav-ex1015271.htm EX-10.15 Exhibit 10.15 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into this 11th day of February, 2020, by and between SILICON VALLEY BANK, a California corporation (“Bank”), and SHOCKWAVE MEDICAL, INC., a Delaware corporation (“Borrower”). RECITALS A.Bank and Borrower have entered i |
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| February 14, 2020 |
SWAV / ShockWave Medical, Inc. / GILDER GAGNON HOWE & CO LLC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. )* ShockWave Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 82489T104 (CUSIP Number) December 31, 2019 (Date of E |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of earliest event Reported: February 11, 2020 Shockwave Medical, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-38829 27-0494101 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R. |
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| February 13, 2020 |
EXHIBIT 99.1 Shockwave Medical Reports Fourth Quarter and Full Year 2019 Financial Results and Provides Full Year 2020 Financial Outlook SANTA CLARA, Calif., Feb. 13, 2020 (GLOBE NEWSWIRE) - Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results |
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| February 12, 2020 |
SWAV / ShockWave Medical, Inc. / Sofinnova Capital VII FCPR - SCHEDULE 13D Activist Investment SC 13D 1 tm207525-1sc13d.htm SCHEDULE 13D Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.)* ShockWave Medical, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 82489T 104 (CUSIP Number) Armance Bordes Sofinnova Partners 7-11 boulevard Hausmann 75009 |
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| February 11, 2020 |
SWAV / ShockWave Medical, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Shockwave Medical Inc Title of Class of Securities: Common Stock CUSIP Number: 82489T104 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ R |
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| December 19, 2019 |
Entry into a Material Definitive Agreement 8-K 1 dp1178038k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2019 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdict |
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| November 15, 2019 |
Prospectus Filed Pursuant to Rule 424(b)(4) Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(4) Registration No. |
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| November 14, 2019 |
SWAV / ShockWave Medical, Inc. S-1/A - - AMENDMENT NO. 1 TO FORM S-1 Amendment No. 1 to Form S-1 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on November 14, 2019 Registration No. 333-234640 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ShockWave Medical, Inc. (Exact Name of Registrant as Specified in Its Charter) D |
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| November 14, 2019 |
SWAV / ShockWave Medical, Inc. S-1MEF - - S-1MEF S-1MEF 1 d832738ds1mef.htm S-1MEF As filed with the Securities and Exchange Commission on November 14, 2019 Registration No. 333-234640 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SHOCKWAVE MEDICAL, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 3841 27-0494101 (State or Other Jurisdiction of Incor |
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| November 12, 2019 |
Form of Separation Pay Agreement EX-10.13 Exhibit 10.13 SEPARATION PAY AGREEMENT This Separation Pay Agreement (the “Agreement”) is made and entered into as of , 20 , by and between [NAME] (the “Executive”) and ShockWave Medical, Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to address and handle certain aspects of the employment the Executive on the terms and conditions set forth herein; and WHEREAS, |
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| November 12, 2019 |
SWAV / ShockWave Medical, Inc. CORRESP - - Company Acceleration Request November 12, 2019 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Irene Paik Re: ShockWave Medical, Inc. Registration Statement on Form S-1 Registration No. 333-234640 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, as amended, we |
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| November 12, 2019 |
SWAV / ShockWave Medical, Inc. CORRESP - - Underwriters' Acceleration Request November 12, 2019 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| November 12, 2019 |
Registration Statement on Form S-1 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on November 12, 2019 Registration No. |
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| November 12, 2019 |
Form of Underwriting Agreement EX-1.1 2 d764879dex11.htm EX-1.1 Exhibit 1.1 [●] Shares SHOCKWAVE MEDICAL, INC. COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT [●], 2019 [●], 2019 Morgan Stanley & Co. LLC BofA Securities, Inc. c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 Ladies and Gentlemen: ShockWave Medical, Inc., a Delaw |
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| November 12, 2019 |
Separation Pay Agreement with Douglas Godshall EX-10.12 Exhibit 10.12 SEPARATION PAY AGREEMENT This Separation Pay Agreement (the “Agreement”) is made and entered into as of August 19, 2019, by and between Doug Godshall (the “Executive”) and Shockwave Medical, Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to address and handle certain aspects of the employment the Executive on the terms and conditions set forth her |
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| November 8, 2019 |
Separation Pay Agreement with Douglas Godshall Exhibit 10.1 SEPARATION PAY AGREEMENT This Separation Pay Agreement (the “Agreement”) is made and entered into as of August 19, 2019, by and between Doug Godshall (the “Executive”) and Shockwave Medical, Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to address and handle certain aspects of the employment the Executive on the terms and conditions set forth herein; and W |
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| November 8, 2019 |
SWAV / ShockWave Medical, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 ShockWave Medical, Inc. |
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| November 8, 2019 |
Form of Separation Pay Agreement Exhibit 10.2 SEPARATION PAY AGREEMENT This Separation Pay Agreement (the “Agreement”) is made and entered into as of , 20, by and between [NAME] (the “Executive”) and ShockWave Medical, Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to address and handle certain aspects of the employment the Executive on the terms and conditions set forth herein; and WHEREAS, the Execut |
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| November 7, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 swav-8k20191107.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2019 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdicti |
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| November 7, 2019 |
SHOCKWAVE MEDICAL, INC. Balance Sheet Data (In thousands) Exhibit 99.1 Shockwave Medical Reports Third Quarter 2019 Financial Results Santa Clara, Calif. – November 7, 2019 – Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended September 30, 2019. Recent Highlights • Recogn |
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| October 30, 2019 |
SWAV / ShockWave Medical, Inc. DRS - - Draft Registration Statement Table of Contents Index to Financial Statements Confidential Treatment Requested by ShockWave Medical, Inc. |
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| October 30, 2019 |
EX-10.13 Exhibit 10.13 SEPARATION PAY AGREEMENT This Separation Pay Agreement (the “Agreement”) is made and entered into as of , 20 , by and between [NAME] (the “Executive”) and ShockWave Medical, Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to address and handle certain aspects of the employment the Executive on the terms and conditions set forth herein; and WHEREAS, |
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| October 30, 2019 |
EX-10.12 2 filename2.htm Exhibit 10.12 SEPARATION PAY AGREEMENT This Separation Pay Agreement (the “Agreement”) is made and entered into as of August 19, 2019, by and between Doug Godshall (the “Executive”) and Shockwave Medical, Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to address and handle certain aspects of the employment the Executive on the terms and conditio |
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| August 16, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2019 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of incorporation) (Commissio |
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| August 6, 2019 |
Form of Restricted Stock Unit Agreement Exhibit 10.1 SHOCKWAVE MEDICAL, INC. 2019 EQUITY INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD Except as otherwise indicated, any capitalized term used but not defined in this Notice of Restricted Stock Unit Award (this “Notice”) shall have the meaning ascribed to such term in the ShockWave Medical, Inc. 2019 Equity Incentive Plan (as it may be amended from time to time, the “Plan”). Name: |
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| August 6, 2019 |
SWAV / ShockWave Medical, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 ShockWave Medical, Inc. |
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| August 5, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 swav-8k20190805.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2019 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction |
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| August 5, 2019 |
SHOCKWAVE MEDICAL, INC. Balance Sheet Data (In thousands) Exhibit 99.1 Shockwave Medical Reports Second Quarter 2019 Financial Results Santa Clara, Calif. – August 5, 2019 – Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended June 30, 2019. Recent Highlights • Recognized r |
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| May 9, 2019 |
SWAV / ShockWave Medical, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38829 ShockWave Medical, Inc. |
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| May 8, 2019 |
SHOCKWAVE MEDICAL, INC. Balance Sheet Data (In thousands) Exhibit 99.1 Shockwave Medical Reports First Quarter 2019 Financial Results Santa Clara, Calif. – May 8, 2019 – Shockwave Medical, Inc. (Nasdaq: SWAV), a pioneer in the development and commercialization of Intravascular Lithotripsy (IVL) to treat complex calcified cardiovascular disease, today reported financial results for the three months ended March 31, 2019. Recent Highlights • Recognized reve |
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| May 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 swav-8k20190508.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2019 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction of |
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| March 22, 2019 |
EX-2 Exhibit 2 FORM OF LOCK-UP LETTER , 2019 Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated c/o Morgan Stanley & Co. LLC 1585 Broadway New York, NY 10036 c/o Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, New York 10036 Ladies and Gentlemen: The undersigned understands that Morgan Stanley & Co. LLC (“Morgan Stanley”) and Merrill Lynch, Pie |
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| March 22, 2019 |
SWAV / ShockWave Medical, Inc. / Abiomed Inc - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* ShockWave Medical, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 82489T 104 (CUSIP Number) Marc Began, Esq. ABIOMED, Inc. 22 Cherry Hill Drive Danvers, Massachusetts 01923 978-646-1400 (Name, Address |
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| March 12, 2019 |
8-K 1 dp1036208k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2019 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 001- 38829 27-0494101 (State or other jurisdiction |
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| March 12, 2019 |
Exhibit 3.4 AMENDED AND RESTATED BYLAWS OF SHOCKWAVE MEDICAL, INC. ARTICLE 1 OFFICES Section 1.01. Registered Office. The registered office of the Corporation shall be 1209 Orange Street, City of Wilmington, County of New Castle, DE 19801, State of Delaware. Section 1.02. Other Offices. The Corporation may also have offices at such other places both within and without the State of Delaware as the |
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| March 12, 2019 |
Restated Certificate of Incorporation EX-3.3 4 dp103620ex0303.htm EXHIBIT 3.3 Exhibit 3.3 RESTATED CERTIFICATE OF INCORPORATION OF SHOCKWAVE MEDICAL, INC. The undersigned, Douglas Godshall, does hereby verify that: ONE: He is the duly elected and acting President and Chief Executive Officer of Shockwave Medical, Inc. (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware. TWO: The original Ce |
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| March 12, 2019 |
EX-3.2 3 dp103620ex0302.htm EXHIBIT 3.2 Exhibit 3.2 CERTIFICATE OF RETIREMENT OF SERIES A PREFERRED STOCK SERIES A-1 PREFERRED STOCK SERIES B PREFERRED STOCK SERIES C PREFERRED STOCK AND SERIES D PREFERRED STOCK OF SHOCKWAVE MEDICAL, INC. Pursuant to Section 243(b) of the General Corporation Law of the State of Delaware Shockwave Medical, Inc., a corporation organized and existing under the laws o |
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| March 12, 2019 |
Amended and Restated Certificate of Incorporation of ShockWave Medical, Inc. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SHOCKWAVE MEDICAL, INC. The undersigned, Douglas Godshall, does hereby verify that: ONE: He is the duly elected and acting President and Chief Executive Officer of Shockwave Medical, Inc. (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware. TWO: The original Certificate of Incorporation o |
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| March 11, 2019 |
SWAV / ShockWave Medical, Inc. / Flynn James E Passive Investment SC 13G 1 e618285sc13g-shockwave.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. ) * Shockwave Medical, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 82489T104 (CUSIP Number) March 11, |
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| March 8, 2019 |
424B4 1 d627917d424b4.htm FINAL PROSPECTUS FILED PURSUANT TO RULE 424(B)(4) Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(4) Registration Nos. 333-229590 333-230110 5,700,000 Shares Common Stock This is the initial public offering of shares of common stock of ShockWave Medical, Inc. We are offering 5,700,000 shares of our common stock. Prior to this offering, there |
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| March 7, 2019 |
FWP 1 d627917dfwp.htm FWP Issuer Free Writing Prospectus dated March 6, 2019 Filed Pursuant to Rule 433 Relating to Preliminary Prospectus dated February 25, 2019 Registration Statement No. 333- 229590 This free writing prospectus relates to the common stock of ShockWave Medical, Inc. (the “Company”) and should be read together with the preliminary prospectus dated February 25, 2019 (the “Prelimin |
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| March 7, 2019 |
SWAV / ShockWave Medical, Inc. REGISTRATION STATEMENT ON FORM S-8 S-8 1 d716667ds8.htm REGISTRATION STATEMENT ON FORM S-8 As filed with the Securities and Exchange Commission on March 6, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SHOCKWAVE MEDICAL, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 3841 27-0494101 (State or O |
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| March 6, 2019 |
SWAV / ShockWave Medical, Inc. FORM 8-A12B 8-A12B 1 dp1033978a12b.htm FORM 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 ShockWave Medical, Inc. (Exact name of registrant as specified in its charter) Delaware 27-0494101 (State of incorporation or organization) (I.R.S. Employer I |
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| March 6, 2019 |
SWAV / ShockWave Medical, Inc. S-1MEF As filed with the Securities and Exchange Commission on March 6, 2019 Registration No. |
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| March 4, 2019 |
SWAV / ShockWave Medical, Inc. CORRESP 1 filename1.htm March 4, 2019 VIA EDGAR TRANSMISSION AND FEDEX U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Tara Harkins Ms. Lynn Dicker Mr. Thomas Jones Mr. Geoff Kruczek Re: ShockWave Medical, Inc. Registration Statement on Form S-1 Registration No. 333-229590 Ladies and Gentlemen: In accordance with Rule |
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| March 4, 2019 |
SWAV / ShockWave Medical, Inc. Underwriters' Acceleration Request March 4, 2019 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 26, 2019 |
SWAV / ShockWave Medical, Inc. CORRESP 1 filename1.htm New York Northern California Washington DC São Paulo London Paris Madrid Tokyo Beijing Hong Kong Alan F. Denenberg Davis Polk & Wardwell LLP 1600 El Camino Real Menlo Park, CA 94025 650 752 2011 tel 650 752 3611 fax [email protected] February 26, 2019 VIA EDGAR TRANSMISSION AND FEDERAL EXPRESS U.S. Securities and Exchange Commission Division of Corporation Financ |
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| February 25, 2019 |
Form of Amended and Restated Certificate of Incorporation of the Registrant (1) Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SHOCKWAVE MEDICAL, INC. The undersigned, Douglas Godshall, does hereby verify that: ONE: He is the duly elected and acting President and Chief Executive Officer of Shockwave Medical, Inc. (the ?Corporation?), a corporation organized and existing under the laws of the State of Delaware. TWO: The original Certificate of Incorporation o |
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| February 25, 2019 |
EX-3.5 5 d627917dex35.htm EX-3.5 Exhibit 3.5 CERTIFICATE OF RETIREMENT OF SERIES A PREFERRED STOCK SERIES A-1 PREFERRED STOCK SERIES B PREFERRED STOCK SERIES C PREFERRED STOCK AND SERIES D PREFERRED STOCK OF SHOCKWAVE MEDICAL, INC. Pursuant to Section 243(b) of the General Corporation Law of the State of Delaware Shockwave Medical, Inc., a corporation organized and existing under the laws of the S |
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| February 25, 2019 |
Form of Underwriting Agreement Exhibit 1.1 [?] Shares SHOCKWAVE MEDICAL, INC. COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT [?], 2019 [?], 2019 Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, New York 10036 Ladies and Gentlemen: ShockWa |
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| February 25, 2019 |
Form of Amended and Restated Bylaws of the Registrant (2) Exhibit 3.4 AMENDED AND RESTATED BYLAWS OF SHOCKWAVE MEDICAL, INC. ARTICLE 1 OFFICES Section 1.01. Registered Office. The registered office of the Corporation shall be 1209 Orange Street, City of Wilmington, County of New Castle, DE 19801, State of Delaware. Section 1.02. Other Offices. The Corporation may also have offices at such other places both within and without the State of Delaware as the |
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| February 25, 2019 |
Exhibit 10.11 SHOCKWAVE MEDICAL, INC. NON-EMPLOYEE DIRECTOR COMPENSATION PLAN This ShockWave Medical, Inc. Non-Employee Director Compensation Plan (this ?Plan?) was adopted by the Board of Directors (the ?Board?) of ShockWave Medical, Inc. (the ?Company?) on February [ ], 2019, and became effective on February [ ], 2019. 1. Eligibility. Each member of the Board who is not a full- or part- time off |
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| February 25, 2019 |
SWAV / ShockWave Medical, Inc. SEC Response Letter New York Northern California Washington DC São Paulo London Paris Madrid Tokyo Beijing Hong Kong Alan F. |
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| February 25, 2019 |
2019 Equity Incentive Plan and form of Stock Option Agreement Exhibit 10.4 SHOCKWAVE MEDICAL, INC. 2019 EQUITY INCENTIVE PLAN This ShockWave Medical, Inc. 2019 Equity Incentive Plan (the ?Plan?) is effective upon the Registration Date (the ?Effective Date?) 1. Purposes and Eligibility. (a) General Purpose. The purposes of this Plan are (i) to enable ShockWave Medical, Inc., a Delaware corporation, (the ?Company?) and its Affiliates to attract and retain the |
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| February 25, 2019 |
As filed with the Securities and Exchange Commission on February 25, 2019 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on February 25, 2019 Registration No. |
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| February 25, 2019 |
Exhibit 10.5 SHOCKWAVE MEDICAL, INC. EMPLOYEE STOCK PURCHASE PLAN Section 1. Purpose of the Plan; Effective Date. The purpose of this ShockWave Medical, Inc. Employee Stock Purchase Plan (the ?Plan?) is to provide Eligible Employees (as defined below) with an opportunity to acquire an equity interest in ShockWave Medical, Inc. (the ?Company?) by purchasing shares of the Company?s common stock, par |
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| February 8, 2019 |
EX-10.10 15 d627917dex1010.htm EX-10.10 Exhibit 10.10 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this “Agreement”) dated as of February 26, 2018 (the “Effective Date”) between SILICON VALLEY BANK, a California corporation (“Bank”), and SHOCKWAVE MEDICAL, INC., a Delaware corporation (“Borrower”), provides the terms on which Bank shall lend to Borrower and Borrower shall repay Ba |
