SEC Form 4 · accession 0001179110-15-014345
Guidance Software, Inc. · GUID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfredo Gomez
Officer — SVP, General Counsel
Period of report
Oct 29, 2015
Accepted (ET)
Nov 2, 2015 · 7:11 pm EST
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 | Oct 29, 2015 | A | 33,613 | $0.00 | A | 33,613 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $5.95 | Oct 29, 2015 | A | 78,592 | A | — | Oct 29, 2025 | Common Stock | 78,592 | 78,592 | D |
Explanation of responses
- F1( 1) Effective with the hiring of Mr. Gomez, on October 29, 2015, the Board of Directors of the Company granted Mr. Gomez Restricted Stock Awards representing 33,613 shares of Common Stock. Provided Mr. Gomez remains an employee of the Company on the following dates, such shares shall vest as follows: 25% shall vest on October 29, 2016, 25% shall vest on October 29, 2017, 25% shall vest on October 29, 2018 and the final 25% shall vest on October 29, 2019.
- F2Effective with the hiring of Mr. Gomez, on October 29, 2015, the Board of Directors of the Company granted Mr. Gomez Incentive Stock Options representing 78,592 shares of Common Stock at an exercise price of $5.95. Provided Mr. Gomez remains an employee of the Company on the following dates, such stock options shall vest as follows: 25% shall vest on October 29, 2016, 25% shall vest on October 29, 2017, 25% shall vest on October 29, 2018 and the final 25% shall vest on October 29, 2019.