4//SEC Filing
Deerfield Private Design Fund III, L.P. 4
Accession 0001193805-19-000271
CIK 0001642545other
Filed
Mar 10, 8:00 PM ET
Accepted
Mar 11, 2:16 PM ET
Size
43.2 KB
Accession
0001193805-19-000271
Insider Transaction Report
Form 4
Flynn James E
10% OwnerOther
Transactions
- Conversion
Series B Preferred Stock
2019-03-11−1,619,433→ 0 total(indirect: Through Deerfield Private Design Fund III, L.P.)→ Common Stock (132,740 underlying) - Conversion
Series C Preferred Stock
2019-03-11−284,659→ 0 total(indirect: Through Deerfield Special Situations Fund, L.P.)→ Common Stock (23,333 underlying) - Conversion
Common Stock
2019-03-11+132,740→ 132,740 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Conversion
Series C Preferred Stock
2019-03-11−284,659→ 0 total(indirect: Through Deerfield Private Design Fund III, L.P.)→ Common Stock (23,333 underlying) - Conversion
Common Stock
2019-03-11+23,333→ 156,073 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Conversion
Series B Preferred Stock
2019-03-11−1,619,433→ 0 total(indirect: Through Deerfield Special Situations Fund, L.P.)→ Common Stock (132,740 underlying) - Conversion
Common Stock
2019-03-11+132,740→ 132,740 total(indirect: Through Deerfield Special Situations Fund, L.P.) - Conversion
Common Stock
2019-03-11+23,333→ 156,073 total(indirect: Through Deerfield Special Situations Fund, L.P.) - Purchase
Common Stock
2019-03-11$17.00/sh+10,000$170,000→ 166,073 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Purchase
Common Stock
2019-03-11$17.00/sh+10,000$170,000→ 166,073 total(indirect: Through Deerfield Special Situations Fund, L.P.) - Purchase
Common Stock
2019-03-11$17.00/sh+10,000$170,000→ 10,000 total(indirect: Through Deerfield Partners, L.P.)
Footnotes (4)
- [F1]Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019).
- [F2]Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019).
- [F3]This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
- [F4]In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Documents
Issuer
ShockWave Medical, Inc.
CIK 0001642545
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001603333
Filing Metadata
- Form type
- 4
- Filed
- Mar 10, 8:00 PM ET
- Accepted
- Mar 11, 2:16 PM ET
- Size
- 43.2 KB