SEC Form 4 · accession 0001323953-17-000016
Guidance Software, Inc. · GUID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:11 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 stock, $0.001 par value per shareF1 | Mar 1, 2017 | S | 127,741 | $7.0201 | D | 3,609,506 | I | By private limited partnerships and separately managed accounts |
| Common stock, $0.001 par value per shareF1 | Mar 2, 2017 | S | 26,095 | $7.0291 | D | 3,583,411 | I | By private limited partnerships and separately managed accounts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jointly by Robert G. Moses and RGM Capital, LLC (RGM). Robert G. Moses and RGM are deemed to be 10% beneficial owners of the Issuer. The securities reported on this Form 4 are either held in the name of private investment limited partnerships, of which an affiliate of RGM is the general partner, or in the name of separately managed accounts for which RGM is investment manager. By virtue of his position as the managing member of RGM, Mr. Moses may be deemed to beneficially own the securities reported in this Form 4. Mr. Moses and RGM each disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that Mr. Moses or RGM is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.