SEC Form 4 · accession 0001209191-18-057930
GENOMIC HEALTH INC · GHDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederic Pla
Officer — COO
Period of report
Nov 7, 2018
Accepted (ET)
Nov 9, 2018 · 4:02 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 StockF1 | Nov 7, 2018 | M | 36,633 | $27.00 | A | 72,171 | D | |
| Common StockF1 | Nov 7, 2018 | M | 6,867 | $27.48 | A | 79,038 | D | |
| Common StockF2,F3,F4,F1 | Nov 7, 2018 | S | 2,100 | $80.8571 | D | 76,938 | D | |
| Common StockF2,F3,F5,F1 | Nov 7, 2018 | S | 700 | $81.4368 | D | 76,238 | D | |
| Common StockF2,F3,F6,F1 | Nov 7, 2018 | S | 3,657 | $82.8731 | D | 72,581 | D | |
| Common StockF2,F3,F7,F1 | Nov 7, 2018 | S | 700 | $83.8629 | D | 71,881 | D | |
| Common StockF2,F3,F8,F1 | Nov 7, 2018 | S | 13,916 | $84.9995 | D | 57,965 | D | |
| Common StockF2,F3,F9,F1 | Nov 7, 2018 | S | 18,477 | $85.4928 | D | 39,488 | D | |
| Common StockF2,F3,F10,F1 | Nov 7, 2018 | S | 3,781 | $86.6086 | D | 35,707 | D | |
| Common StockF2,F11,F1 | Nov 7, 2018 | S | 100 | $88.59 | D | 35,607 | D | |
| Common StockF2,F11,F1 | Nov 7, 2018 | S | 69 | $89.60 | D | 35,538 | 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) HoldingF12 | $27.00 | Nov 7, 2018 | M | 36,633 | D | — | Feb 16, 2026 | Common Stock | 36,633 | 20,567 | D |
| Employee Stock Option (right to buy) HoldingF13 | $27.48 | Nov 7, 2018 | M | 6,867 | D | — | Jan 31, 2027 | Common Stock | 6,867 | 49,253 | D |
Explanation of responses
- F1Includes an aggregate of 18,734 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.
- F10Represents weighted average sale price. Actual sale prices ranged from $86.50 to $86.87.
- F11Represents actual sale price.
- F12The option became exercisable as to 25% of the shares on February 16, 2017, and became exercisable as to 1/48th of the shares each full month thereafter.
- F13The option became exercisable as to 25% of the shares on January 31, 2018, and becomes exercisable as to 1/48th of the shares each full month thereafter.
- F2These sales of common stock were effected pursuant to Rule 10b5-1 sales plan adopted by the reporting person on June 7, 2018.
- F3Reporting 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.
- F4Represents weighted average sale price. Actual sale prices ranged from $80.00 to $80.90.
- F5Represents weighted average sale price. Actual sale prices ranged from $81.00 to $81.70.
- F6Represents weighted average sale price. Actual sale prices ranged from $82.00 to $82.96.
- F7Represents weighted average sale price. Actual sale prices ranged from $83.04 to $84.00.
- F8Represents weighted average sale price. Actual sale prices ranged from $84.25 to $85.11.
- F9Represents weighted average sale price. Actual sale prices ranged from $85.25 to $86.00.