SEC Form 4 · accession 0001209191-16-150215
GENOMIC HEALTH INC · GHDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Shak
Officer — Chief Scientific Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 4:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001131324
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | M | 3,327 | $18.89 | A | 330,534 | D | |
| Common StockF1,F2,F3,F4 | Nov 10, 2016 | S | 3,327 | $31.3598 | D | 327,207 | D | |
| Common Stock | Nov 10, 2016 | M | 1,673 | $18.89 | A | 328,880 | D | |
| Common StockF1,F2,F5,F4 | Nov 10, 2016 | S | 1,673 | $32.418 | D | 327,207 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F6 | $18.89 | Nov 10, 2016 | M | 3,327 | D | — | Nov 30, 2016 | Common Stock | 0 | 1,673 | D |
| Employee Stock Option (right to buy)F6 | $18.89 | Nov 10, 2016 | M | 1,673 | D | — | Nov 30, 2016 | Common Stock | 0 | 0 | D |
Explanation of responses
- F1These sales of common stock were effected pursuant to Rule 10b5-1 sales plan adopted by the reporting person on March 1, 2016.
- F2Reporting person undertakes to provide upon request by the Securities and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within the range indicated.
- F3Represents weighted average sale price. Actual sale prices ranged from $30.97 to $31.96.
- F4Includes an aggregate of 15,764 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.
- F5Represents weighted average sale price. Actual sale prices ranged from $32.10 to $32.54.
- F6The option became exercisable as to 25% of the shares on November 30, 2007, and became exercisable as to 1/48th of the shares each full month thereafter.