Sec Form 4 Filing - Phung Trinh @ Shockwave Medical, Inc. - 2022-04-12

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Phung Trinh 2. Issuer Name and Ticker or Trading Symbol Shockwave Medical, Inc. [ SWAV] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) VP, Finance (Last) (First) (Middle) C/O SHOCKWAVE MEDICAL, INC., 5403 BETSY ROSS DRIVE 3. Date of Earliest Transaction (MM/DD/YY) 04/12/2022 (Street) SANTA CLARA, CA95054 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 04/12/2022 S( 1 ) 700 D $ 210.73( 2 ) 32,171( 3 ) D Common Stock 04/12/2022 S( 1 ) 158 D $ 211.22( 4 ) 32,013 D Common Stock 04/12/2022 S( 1 ) 348 D $ 212.26( 5 ) 31,665 D Common Stock 04/12/2022 S( 1 ) 200 D $ 214.25( 6 ) 31,465 D Common Stock 04/12/2022 S( 1 ) 500 D $ 216.1( 7 ) 30,965 D Common Stock 04/12/2022 S( 1 ) 100 D $ 217( 8 ) 30,865 D Common Stock 04/12/2022 S( 1 ) 470 D $ 219.08( 9 ) 30,395 D Common Stock 04/12/2022 S( 1 ) 500 D $ 220.18( 10 ) 29,895 D Common Stock 04/12/2022 S( 1 ) 100 D $ 221.14( 11 ) 29,795 D Common Stock 04/12/2022 S( 1 ) 100 D $ 222.41( 12 ) 29,695 D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Phung Trinh C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA, CA95054 VP, Finance Signatures /s/ Wade Estey, as attorney-in-fact for Trinh Phung 04/14/2022 Signature of Reporting Person Date

Explanation of Responses:

( 1 )All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 3/10/2022. ( 2 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $210.06 to $210.98. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 3 )The reported total includes an aggregate 75 shares the Reporting Person has acquired since her Form 4 report filed on February 24, 2022 in exempt transactions through automatic payroll deduction and purchase features of the Issuers Employee Stock Purchase Plan, which is a qualified tax-conditioned plan pursuant to Section 423 of the Internal Revenue Code. ( 4 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $211.06 to $211.50. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 5 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $212.16 to $212.39. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 6 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $213.79 to $214.71. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 7 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $215.54 to $216.37. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 8 )All reported securities were sold at a price of $217.00. ( 9 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $218.57 to $219.25. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 10 )The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $219.62 to $220.56. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. ( 11 )All reported securities were sold at a price of $221.14. ( 12 )All reported securities were sold at a price of $222.41.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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