SEC Form 4 · accession 0001135337-17-000002
Guardion Health Sciences, Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Favish
Officer — Chair, Chief Executive Officer · Director · 10% Owner
Period of report
Dec 27, 2016
Accepted (ET)
Jan 3, 2017 · 4:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001642375
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 31, 2016 | A | 50,000 | $0.00 | A | 5,550,000 | I | Held in the Michael Favish Living Trust Dated Jan 31, 2007. |
| Common Stock | Dec 31, 2016 | P | 684,933 | $0.60 | A | 6,234,933 | I | Held in the Michael Favish Living Trust Dated Jan 31, 2007. |
| Common Stock | Dec 31, 2016 | A | 10,000 | $0.00 | A | 160,000 | I | Held by wife, Karen M. Favish. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock for services vesting 50% on June 30, 2017 and 50% on December 31, 2017.
- F2Private purchase of Common Stock by exchanging amounts accrued and owed to Michael Favish.
- F3Grant of restricted stock issue to wife, Karen M. Favish, for services vesting 50% on June 30, 2017 and 50% on December 31, 2017.