SEC Form 4 · accession 0001209191-19-015202
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 27, 2019
Accepted (ET)
Mar 1, 2019 · 7:05 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 27, 2019 | M | 25,000 | $17.18 | A | 360,479 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F4,F1 | Feb 27, 2019 | S | 22,807 | $76.5259 | D | 337,672 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F5,F1 | Feb 27, 2019 | S | 2,193 | $77.2902 | D | 335,479 | I | Held by the Shak Family Trust |
| Common StockF1 | Feb 28, 2019 | M | 20,000 | $17.18 | A | 355,479 | I | Held by the Shak Family Trust |
| Common StockF1 | Feb 28, 2019 | M | 5,000 | $28.05 | A | 360,479 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F6,F1 | Feb 28, 2019 | S | 5,302 | $75.622 | D | 355,177 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F7,F1 | Feb 28, 2019 | S | 14,900 | $76.4118 | D | 340,277 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F8,F1 | Feb 28, 2019 | S | 4,798 | $77.2173 | D | 335,479 | 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)F9 | $17.18 | Feb 27, 2019 | M | 25,000 | D | — | Feb 18, 2020 | Common Stock | 25,000 | 20,000 | D |
| Employee Stock Option (right to buy)F9 | $17.18 | Feb 28, 2019 | M | 20,000 | D | — | Feb 18, 2020 | Common Stock | 20,000 | 0 | D |
| Employee Stock Option (right to buy)F10 | $28.05 | Feb 28, 2019 | S | 5,000 | D | — | Jan 31, 2023 | Common Stock | 5,000 | 32,500 | D |
Explanation of responses
- F1Includes an aggregate of 9,210 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 January 31, 2014, 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 $75.96 to $76.94.
- F5Represents weighted average sale price. Actual sale prices ranged from $76.96 to $77.76.
- F6Represents weighted average sale price. Actual sale prices ranged from $75.03 to $76.02.
- F7Represents weighted average sale price. Actual sale prices ranged from $76.06 to $77.05.
- F8Represents weighted average sale price. Actual sale prices ranged from $77.06 to $77.35.
- F9The 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.