SEC Form 4 · accession 0001628280-18-012495
Guardant Health, Inc. · GH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Wiley
Officer — Chief Legal Officer
Period of report
Oct 9, 2018
Accepted (ET)
Oct 11, 2018 · 5:36 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 | Oct 9, 2018 | C | 6,561 | — | A | 439,949 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SERIES A PREFERRED STOCKF1 | — | Oct 9, 2018 | C | 6,561 | D | — | — | COMMON STOCK | 6,561 | 0 | D |
Explanation of responses
- F1The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock 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.