SEC Form 4 · accession 0001104659-17-021137
Guidance Software, Inc. · GUID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 17, 2016
Accepted (ET)
Apr 3, 2017 · 9:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001375557
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 17, 2016 | S | 10,000 | $6.204 | D | 9,076,384 | I | Trustee and trust beneficiary |
| Common Stock | Jun 20, 2016 | S | 10,000 | $6.397 | D | 9,066,384 | I | Trustee and trust beneficiary |
| Common Stock | Jun 21, 2016 | S | 10,000 | $6.184 | D | 9,056,384 | I | Trustee and trust beneficiary |
| Common Stock | Jun 22, 2016 | S | 10,000 | $6.133 | D | 9,046,384 | I | Trustee and trust beneficiary |
| Common Stock | Jun 23, 2016 | S | 10,000 | $6.196 | D | 9,036,384 | I | Trustee and trust beneficiary |
| Common Stock | Aug 5, 2016 | S | 3,255 | $6.043 | D | 9,033,129 | I | Trustee and trust beneficiary |
| Common Stock | Aug 11, 2016 | S | 10,000 | $6.015 | D | 9,023,129 | I | Trustee and trust beneficiary |
| Common Stock | Aug 12, 2016 | S | 10,000 | $6.012 | D | 9,013,129 | I | Trustee and trust beneficiary |
| Common Stock | Aug 15, 2016 | S | 10,000 | $6.069 | D | 9,003,129 | I | Trustee and trust beneficiary |
| Common Stock | Aug 16, 2016 | S | 10,000 | $6.003 | D | 8,993,129 | I | Trustee and trust beneficiary |
| Common Stock | Aug 17, 2016 | S | 5,000 | $6.001 | D | 8,988,129 | I | Trustee and trust beneficiary |
| Common Stock | Aug 18, 2016 | S | 2,612 | $6.002 | D | 8,985,517 | I | Trustee and trust beneficiary |
| Common Stock | Aug 19, 2016 | S | 10,000 | $6.002 | D | 8,975,517 | I | Trustee and trust beneficiary |
| Common Stock | Aug 22, 2016 | S | 10,000 | $6.005 | D | 8,965,517 | I | Trustee and trust beneficiary |
| Common Stock | Aug 23, 2016 | S | 10,000 | $6.028 | D | 8,955,517 | I | Trustee and trust beneficiary |
| Common Stock | Aug 24, 2016 | S | 10,000 | $6.01 | D | 8,945,517 | I | Trustee and trust beneficiary |
| Common Stock | Aug 25, 2016 | S | 9,668 | $6.015 | D | 8,935,849 | I | Trustee and trust beneficiary |
| Common Stock | Aug 26, 2016 | S | 6,213 | $6.004 | D | 8,929,636 | I | Trustee and trust beneficiary |
| Common Stock | Aug 29, 2016 | S | 10,000 | $6.029 | D | 8,919,636 | I | Trustee and trust beneficiary |
| Common Stock | Aug 30, 2016 | S | 10,000 | $6.02 | D | 8,909,636 | I | Trustee and trust beneficiary |
| Common Stock | Sep 1, 2016 | S | 9,313 | $6.02 | D | 8,900,323 | I | Trustee and trust beneficiary |
| Common Stock | Sep 2, 2016 | S | 10,000 | $6.02 | D | 8,890,323 | I | Trustee and trust beneficiary |
| Common Stock | Sep 6, 2016 | S | 10,000 | $6.074 | D | 8,880,323 | I | Trustee and trust beneficiary |
| Common Stock | Sep 7, 2016 | S | 10,000 | $6.045 | D | 8,870,323 | I | Trustee and trust beneficiary |
| Common Stock | Sep 8, 2016 | S | 4,989 | $6.014 | D | 8,865,334 | I | Trustee and trust beneficiary |
| Common Stock | Sep 13, 2016 | G | 3,200,000 | $0.00 | D | 5,665,334 | I | Trustee and trust beneficiary |
| Common Stock | Sep 28, 2016 | S | 10,000 | $6.006 | D | 5,655,334 | I | Trustee and trust beneficiary |
| Common Stock | Sep 29, 2016 | S | 7,766 | $6.042 | D | 5,647,568 | I | Trustee and trust beneficiary |
| Common Stock | Sep 30, 2016 | S | 3,666 | $6.019 | D | 5,643,902 | I | Trustee and trust beneficiary |
| Common Stock | Oct 5, 2016 | S | 200 | $6.00 | D | 5,643,702 | I | Trustee and trust beneficiary |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.195 to $6.217, inclusive. The reporting person undertakes to provide to Guidance Software Inc., any security holder of Guidance Software Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4.
- F2This transaction involved a gift of securities by the reporting person to the McCreight Foundation, a tax exempt foundation under Section 501(c)(3) of the U.S. Internal Revenue Code of which the reporting person is a trustee.