Filing Details
- Accession Number:
- 0001628280-19-004409
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-04-17 20:50:44
- Reporting Period:
- 2019-04-15
- Accepted Time:
- 2019-04-17 20:50:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1576280 | Guardant Health Inc. | GH | Services-Medical Laboratories (8071) | 454139254 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1721003 | B. Richard Lanman | 505 Penobscot Drive Redwood City CA 94063 | Chief Medical Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-04-15 | 45,000 | $1.43 | 175,631 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-04-15 | 31,500 | $73.98 | 144,131 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-04-15 | 13,500 | $76.05 | 130,631 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-04-16 | 45,000 | $1.43 | 175,631 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-04-16 | 45,000 | $76.56 | 130,631 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-04-17 | 21,652 | $1.43 | 152,283 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-04-17 | 17,676 | $4.18 | 169,959 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-04-17 | 6,916 | $8.80 | 176,875 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-04-17 | 27,396 | $71.66 | 149,479 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-04-17 | 18,848 | $72.98 | 130,631 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-04-15 | 45,000 | $0.00 | 45,000 | $1.43 |
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-04-16 | 45,000 | $0.00 | 45,000 | $1.43 |
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-04-17 | 21,652 | $0.00 | 21,652 | $1.43 |
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-04-17 | 17,676 | $0.00 | 17,676 | $4.18 |
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-04-17 | 6,916 | $0.00 | 6,916 | $8.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 106,331 | 2024-10-16 | No | 4 | M | Direct | |
| 61,331 | 2024-10-16 | No | 4 | M | Direct | |
| 39,679 | 2024-10-16 | No | 4 | M | Direct | |
| 19,214 | 2027-04-30 | No | 4 | M | Direct | |
| 48,419 | 2028-08-21 | No | 4 | M | Direct |
Footnotes
- These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of one or more stock options at an exercise price of $1.43, $4.18 or $8.80 per share.
- The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $73.86 to $74.19. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $75.92 to $76.29. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $76.44 to $76.64. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $71.50 to $71.76. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $72.92 to $73.86. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- The exercise price of $1.42 reported in the Reporting Person's Form 3 filed on October 3, 2018 was in error.
- The stock option vests and becomes exercisable as to 25% of the option on September 2, 2015, thereafter vests in equal monthly installments over 36 months.
- The exercise price of $4.17 reported in the Reporting Person's Form 3 filed on October 3, 2018 was in error.
- The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on April 1, 2017.
- The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on August 22, 2018
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