Filing Details
- Accession Number:
- 0001628280-19-005841
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-03 18:02:36
- Reporting Period:
- 2019-05-01
- Accepted Time:
- 2019-05-03 18:02:36
- 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 | 2019-05-01 | 1,536 | $4.18 | 132,955 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-05-01 | 2,306 | $8.80 | 135,261 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-01 | 2,642 | $64.49 | 132,619 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-05-01 | 1,200 | $65.62 | 131,419 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2019-05-01 | 1,536 | $0.00 | 1,536 | $4.18 |
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-05-01 | 2,306 | $0.00 | 2,306 | $8.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,678 | 2027-05-31 | No | 4 | M | Direct | |
| 46,113 | 2028-08-22 | No | 4 | M | Direct |
Footnotes
- Includes shares acquired under the Issuer's 2018 Employee Stock Purchase Plan that were not included in the Reporting Person's last Form 4 filing.
- 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 $4.18 or $8.80 per share.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $63.95 to $64.75, inclusive. 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 shares were sold in multiple transactions at prices ranging from $65.02 to $65.98, inclusive. 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 stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on April 1, 2017.
- The expiration date of April 30, 2027 reported in the Reporting Person's Form 3 filed on October 3, 2019 and Form 4 filed on April 17, 2019 was in error.
- The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on August 22, 2018
- The expiration date of August 21, 2028 reported in the Reporting Person's Form 3 filed on October 3, 2019 and Form 4 filed on April 17, 2019 was in error.
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