Filing Details
- Accession Number:
- 0001628280-19-013353
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-05 16:58:57
- Reporting Period:
- 2019-11-01
- Accepted Time:
- 2019-11-05 16:58:57
- 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 | 2019-11-01 | 2,305 | $4.18 | 84,320 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-11-01 | 3,459 | $8.80 | 87,779 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-01 | 5,764 | $69.96 | 82,015 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-11-01 | 2,305 | $0.00 | 2,305 | $4.18 |
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Disposition | 2019-11-01 | 3,459 | $0.00 | 3,459 | $8.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,066 | 2027-05-30 | No | 4 | M | Direct | |
| 39,196 | 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 $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 $69.62 to $70.34. 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 stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on August 22, 2018.
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