SEC Form 4 · accession 0001209191-19-007463
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
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 5:55 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 | Feb 1, 2019 | M | 25,000 | $22.98 | A | 364,671 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F4,F1 | Feb 1, 2019 | S | 5,340 | $75.1911 | D | 359,331 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F5,F1 | Feb 1, 2019 | S | 19,460 | $76.0299 | D | 339,871 | I | Held by the Shak Family Trust |
| Common StockF2,F6,F1 | Feb 1, 2019 | S | 200 | $76.61 | D | 339,671 | I | Held by the Shak Family Trust |
| Common StockF1 | Feb 4, 2019 | M | 15,000 | $22.98 | A | 354,671 | I | Held by the Shak Family Trust |
| Common StockF1 | Feb 4, 2019 | M | 10,000 | $17.18 | A | 364,671 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F7,F1 | Feb 4, 2019 | S | 2,192 | $75.7005 | D | 362,479 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F8,F1 | Feb 4, 2019 | S | 19,080 | $76.7213 | D | 343,399 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F9,F1 | Feb 4, 2019 | S | 3,728 | $77.3955 | D | 339,671 | I | Held by the Shak Family Trust |
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)F10 | $17.18 | Feb 4, 2019 | M | 10,000 | D | — | Feb 18, 2020 | Common Stock | 10,000 | 45,000 | D |
| Employee Stock Option (right to buy)F11 | $22.98 | Feb 1, 2019 | M | 25,000 | D | — | Jan 27, 2021 | Common Stock | 25,000 | 15,000 | D |
| Employee Stock Option (right to buy)F11 | $22.98 | Feb 4, 2019 | S | 15,000 | D | — | Jan 27, 2021 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Includes an aggregate of 16,250 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.
- F10The option became exercisable as to 25% of the shares on February 18, 2011, and became exercisable as to 1/48th of the shares each full month thereafter.
- F11The option became exercisable as to 25% of the shares on January 27, 2012, and became 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 November 30, 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 $74.56 to $75.55.
- F5Represents weighted average sale price. Actual sale prices ranged from $75.57 to $76.54.
- F6Represents actual sale price.
- F7Represents weighted average sale price. Actual sale prices ranged from $75.18 to $76.16.
- F8Represents weighted average sale price. Actual sale prices ranged from $76.18 to $77.15.
- F9Represents weighted average sale price. Actual sale prices ranged from $77.19 to $77.79.