SEC Form 4 · accession 0001628280-18-012469
Guardant Health, Inc. · GH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Christopher J Schaepe
10% Owner
Barry Eggers
10% Owner
Ravi Mhatre
10% Owner
Peter Nieh
10% Owner
Lightspeed Venture Partners X, L.P.
10% Owner
Lightspeed Affiliates X, L.P.
10% Owner
Jeremy Liew
10% Owner
Lightspeed General Partner X, L.P.
10% Owner
Period of report
Oct 9, 2018
Accepted (ET)
Oct 11, 2018 · 1:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001576280
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1,F2 | Oct 9, 2018 | C | 58,458 | — | A | 58,458 | I | By Lightspeed Affiliates X, L.P. |
| COMMON STOCKF1,F3 | Oct 9, 2018 | C | 1,169,163 | — | A | 1,169,163 | I | By Lightspeed Venture Partners X, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SERIES C PREFERRED STOCKF1,F2 | — | Oct 9, 2018 | C | 58,458 | D | — | — | COMMON STOCK | 58,458 | 0 | I |
| SERIES C PREFERRED STOCKF1,F3 | — | Oct 9, 2018 | C | 1,169,163 | D | — | — | COMMON STOCK | 1,169,163 | 0 | I |
Explanation of responses
- F1The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.
- F2The shares are directly held by Lightspeed Affiliates X, L.P. Lightspeed Ultimate General Partner X, Ltd. ("LUGP X") is the sole general partner of Lightspeed General Partner X, L.P., which is the sole general partner of Lightspeed Affiliates X, L.P. Barry Eggers, Jeremy Liew, Ravi Mhatre, Peter Nieh and Christopher J. Schaepe are the directors of LUGP X and share voting and dispositive power with respect to the shares held by Lightspeed Affiliates X. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- F3The shares are directly held by Lightspeed Venture Partners X, L.P. Lightspeed Ultimate General Partner X, Ltd. is the sole general partner of Lightspeed General Partner X, L.P., which is the sole general partner of Lightspeed Venture Partners X, L.P. Barry Eggers, Jeremy Liew, Ravi Mhatre, Peter Nieh and Christopher J. Schaepe are the directors of LUGP X and share voting and dispositive power with respect to the shares held by Lightspeed Venture Partners X, L.P. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.