SEC Form 4/A · accession 0001255541-17-000002
Guardion Health Sciences, Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael Favish
Officer — Chair, Chief Executive Officer · Director · 10% Owner
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 4:02 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 StockF4 | Dec 31, 2016 | A | 10,000 | $0.00 | A | 260,000 | I | Held by wife, Karen M. Favish |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Board of Directors removed the vesting requirement such that the shares vest immediately upon issuance.
- 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. The Board of Directors removed the vesting requirement such that the shares vest immediately upon issuance.
- F4Corrected amount from Form 4 filed on 01/03/2017