SEC Form 4 · accession 0001209191-15-013478
Guidance Software, Inc. · GUID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry J Plaga
Officer — INTERIM CEO & CFO
Period of report
Feb 11, 2015
Accepted (ET)
Feb 13, 2015 · 4:05 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 | Feb 11, 2015 | A | 65,000 | $0.00 | A | 241,142 | 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 | $6.00 | Feb 11, 2015 | A | 125,000 | A | — | Feb 11, 2025 | Common Stock | 125,000 | 200,000 | D |
Explanation of responses
- F1On February 11, 2015, the Board of Directors of the Company granted Mr. Plaga Restricted Stock Awards representing 65,000 shares of Common Stock and, provided Mr. Plaga remains an employee of the Company on the following dates, such shares shall vest as follows: 25% shall vest on February 11, 2016, 25% shall vest on February 11, 2017, 25% shall vest on February 11, 2018, and the final 25% shall vest on February 11, 2019.
- F2On February 11, 2015, the Board of Directors of the Company granted Mr. Plaga Incentive Stock Options representing 125,000 shares of Common Stock at an exercise price of $6.00. Provided Mr. Plaga remains an employee of the Company on the following dates, such stock options shall vest and become exercisable, as follows: 25% shall vest on February 11, 2016, 25% shall vest on February 11, 2017, 25% shall vest on February 11, 2018, and the final 25% shall vest on February 11, 2019.