Venrock Associates VII, L.P. 4
4 · ShockWave Medical, Inc. · Filed Mar 13, 2019
Insider Transaction Report
Form 4
Venrock Associates VII, L.P.
10% Owner
Transactions
- Conversion
Series C Convertible Preferred Stock
2019-03-11+1,016,492→ 0 total(indirect: By Funds)→ Common Stock (1,016,492 underlying) - Conversion
Common Stock
2019-03-11+1,105,529→ 1,105,529 total(indirect: By Funds) - Conversion
Series B Convertible Preferred Stock
2019-03-11+1,105,529→ 0 total(indirect: By Funds)→ Common Stock (1,105,529 underlying) - Conversion
Common Stock
2019-03-11+1,016,492→ 2,122,021 total(indirect: By Funds)
Footnotes (4)
- [F1]Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.
- [F2]Consists of 745,139 shares of convertible preferred stock held by Venrock Associates VII, L.P., 212,500 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 61,725 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 86,165 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
- [F3]Consists of 382,238 shares of convertible preferred stock held by Venrock Associates VII, L.P., 428,744 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 31,663 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 173,847 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
- [F4]Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein.