SEC Form 3/A · accession 0001628280-18-012485
Guardant Health, Inc. · GH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Derek A Bertocci
Officer — Chief Financial Officer
Period of report
Oct 3, 2018
Accepted (ET)
Oct 11, 2018 · 4:30 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 | holding | — | — | — | 92,875 | 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 | $3.63 | holding | — | — | — | — | Jul 26, 2026 | COMMON STOCK | 91,574 | — | D |
| STOCK OPTION (RIGHT TO BUY)F3 | $8.80 | holding | — | — | — | — | Aug 21, 2028 | COMMON STOCK | 36,890 | — | D |
Explanation of responses
- F1This Form 3 is being amended to reflect an exercise of a stock option on September 30, 2018.
- F2The stock option vests and becomes exercisable as to 25% of the options on July 18, 2017, thereafter vests in equal monthly installments over 36 months.
- F3The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on August 22, 2018.
Remarks
Exhibit 24.1 Power of Attorney