UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
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Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(c)
Effective February 17, 2022, the Board of Directors of Shockwave Medical, Inc. (“Shockwave”), appointed Trinh Phung, Shockwave’s Vice President of Finance, to assume the duties of Shockwave’s Chief Accounting Officer and to act as Shockwave’s principal accounting officer for Securities Exchange Commission (“SEC”) reporting purposes. Ms. Phung assumes the roles of Chief Accounting Officer and principal accounting officer from Daniel Puckett, who continues in his roles as Shockwave’s Chief Financial Officer and principal financial officer. Ms. Phung will retain the title of Vice President of Finance.
Ms. Phung, age 44, joined Shockwave in July 2017 and served as Corporate Controller until she was promoted to Vice President of Finance in November 2018. Prior to joining Shockwave, from February 2012 through June 2017, Ms. Phung was Controller of Ariosa Diagnostics, Inc., a molecular diagnostics testing company that was acquired by Roche in 2014.
There are no arrangements or understandings with any other person with respect to her appointment and no family relationships between Ms. Phung and any of Shockwave’s directors, executive officers, or persons nominated or chosen by Shockwave to become a director or executive officer. There is no material plan, contract or arrangement (whether or not written) to which Ms. Phung is a party or a participant that was entered into or materially amended in connection with her appointment as Chief Accounting Officer and principal accounting officer, or any grant or award to Ms. Phung or modification thereto, under any such plan, contract or arrangement in connection with her appointment. Ms. Phung has not been involved in any related person transactions with Shockwave that would require disclosure under Item 404(a) of Regulation S-K.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: February 22, 2022 | Shockwave Medical, Inc. | |||||
| /s/ Dan Puckett | ||||||
| Dan Puckett | ||||||
| Chief Financial Officer | ||||||