SEC Form 4 · accession 0001717370-18-000001
Guardion Health Sciences, Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 29, 2018
Accepted (ET)
Apr 3, 2018 · 2:35 pm EDT
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 | Mar 31, 2018 | J | 2,742,000 | $0.00 | D | 3,050,000 | D | |
| Common Stock | Mar 31, 2018 | J | 250,000 | $0.00 | D | 3,050,000 | D | |
| Common Stock | Mar 31, 2018 | G | 14,000 | $0.00 | D | 3,036,000 | D | |
| Common Stock | Mar 31, 2018 | G | 14,000 | $0.00 | D | 3,022,000 | D | |
| Common Stock | Mar 31, 2018 | G | 30,000 | $0.00 | A | 2,992,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to the Asset Purchase and Reorganization Agreement by and among the Issuer, the Issuer's wholly owned subsidiary, VectorVision Ocular Health, Inc., and VectorVision, Inc., VectorVision was required to change its name. In conjunction therewith, VectorVision is transfer its shares to its two shareholders, David W. Evans and Tamara Evans. This transfer is merely a change from indirect ownership through VectorVision to direct ownership by Mr. and Mrs. Evans.
- F2Pursuant to the Asset Purchase and Reorganization Agreement by and among the Issuer, the Issuer's wholly owned subsidiary, VectorVision Ocular Health, Inc., and VectorVision, Inc., 250,000 shares are held back until the indemnity period lapses. The shares are represented by a separate certificate. This transfer is merely a change from indirect ownership to direct ownership with the Reporting Persons.
- F3Gift of shares to daughter not living in the Reporting Persons' household. The Reporting Persons disclaim beneficial ownership over these shares.
- F4Gift of shares to father of Reporting Person, David W. Evans, not living in household. The Reporting Persons disclaim beneficial ownership over these shares.