SEC Form 4 · accession 0001209191-19-016443
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
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 4:17 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 | Mar 1, 2019 | M | 25,000 | $28.05 | A | 360,479 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F4 | Mar 1, 2019 | S | 17,578 | $77.0756 | D | 342,901 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F5 | Mar 1, 2019 | S | 7,322 | $77.5409 | D | 335,579 | I | Held by the Shak Family Trust |
| Common StockF2,F6,F1 | Mar 1, 2019 | S | 100 | $78.35 | D | 335,479 | I | Held by the Shak Family Trust |
| Common StockF1 | Mar 4, 2019 | M | 7,500 | $28.05 | A | 342,979 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F7,F1 | Mar 4, 2019 | S | 1,918 | $74.7585 | D | 341,061 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F8,F1 | Mar 4, 2019 | S | 2,356 | $75.7629 | D | 338,705 | I | Held by the Shak Family Trust |
| Common StockF2,F3,F9,F1 | Mar 4, 2019 | S | 3,026 | $76.5876 | D | 335,679 | I | Held by the Shak Family Trust |
| Common StockF6,F1 | Mar 4, 2019 | S | 200 | $77.82 | 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)F10 | $28.05 | Mar 1, 2019 | M | 25,000 | D | — | Jan 31, 2023 | Common Stock | 25,000 | 7,500 | D |
| Employee Stock Option (right to buy)F10 | $28.05 | Mar 4, 2019 | M | 7,500 | D | — | Jan 31, 2023 | Common Stock | 7,500 | 0 | 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 $76.35 to $77.34.
- F5Represents weighted average sale price. Actual sale prices ranged from $77.35 to $78.34.
- F6Represents actual sale price.
- F7Represents weighted average sale price. Actual sale prices ranged from $74.22 to $75.16.
- F8Represents weighted average sale price. Actual sale prices ranged from $75.22 to $76.20.
- F9Represents weighted average sale price. Actual sale prices ranged from $76.23 to $77.09.