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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 Medical , Inc. ( Exact name of Registrant as specified in its Charter ) Delaware ( State or other jurisdiction of incorporation or organization ) 5403 Betsy Ross Drive Santa Clara , CA ( Address of principal executive offices ) Shockwave Medical Inc. , common stock , par value $ 0.001 per share Registrant's telephone number , including area code : ( 510 ) 279-4262 Securities registered pursuant to Section 12 ( b ) of the Act : Title of each class of securities Trading symbol ( s ) . SWAV 27-0494101 ( I.R.S. Employer Identification No. ) 95054 ( Zip Code ) Name of each national exchange and principal U.S. market for the securities The Nasdaq Stock Market LLC ( Nasdaq Global Select Market ) Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the Registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . YES > NO Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Act . YES NO Indicate by check mark whether the Registrant : ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the Registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . YES > NO Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the Registrant was required to submit such files ) . YES NO Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company , " and " emerging growth company ” in Rule 12b - 2 of the Exchange Act . Large accelerated filer Accelerated filer Smaller reporting company Non - accelerated filer Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the Registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . YES NO As of June 30 , 2020 , the aggregate market value of shares held by non - affiliates of the registrant ( based upon the closing sale prices of such shares on the Nasdaq Global Select Market on June 30 , 2020 ) was approximately $ 1.3 billion . For purposes of calculating the aggregate market value of shares held by non - affiliates , we have assumed that all outstanding shares are held by non - affiliates , except for shares held by each of our executive officers , directors and 5 % or greater stockholders . In the case of 5 % or greater stockholders , we have not deemed such stockholders to be affiliates unless there are facts and circumstances which would indicate that such stockholders exercise any control over our company , or unless they hold 10 % or more of our outstanding common stock . These assumptions should not be deemed to constitute an admission that all executive officers , directors and 5 % or greater stockholders are , in fact , affiliates of our company , or that there are not other persons who may be deemed to be affiliates of our company . Further information concerning shareholdings of our officers , directors and principal stockholders is included or incorporated by reference in Part III , Item 12 of this Annual Report on Form 10 - K . The number of shares of Registrant's Common Stock outstanding as of February 22 , 2021 was 34,842,744 . DOCUMENTS INCORPORATED BY REFERENCE Portions of the registrant's Proxy Statement for its 2021 Annual Meeting of Stockholders are incorporated herein by reference in Part III of this Annual Report on Form 10 - K to the extent stated herein . Such proxy statement will be filed with the Securities and Exchange Commission within 120 days of the registrant's fiscal year ended December 31 , 2020 .