Form Type: 4

SEC EDGAR Link
Accession Number:0001628280-20-004062
Date:2020-03-23
Issuer: GUARDANT HEALTH, INC. (GH)
Original Submission Date:

Reporting Person:

BERTOCCI DEREK A
505 PENOBSCOT DRIVE
REDWOOD CITY, CA 94063

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-03-23 M 15,371 a $3.63 100,333 direct
COMMON STOCK 2020-03-23 M 3,729 a $8.80 104,062 direct
COMMON STOCK 2020-03-23 S 14,245 d $60.32 89,817 direct
COMMON STOCK 2020-03-23 S 3,985 d $61.36 85,832 direct
COMMON STOCK 2020-03-23 S 680 d $62.45 85,152 direct
COMMON STOCK 2020-03-23 S 190 d $64.00 84,962 direct
COMMON STOCK 2020-03-24 M 114 a $8.80 85,076 direct
COMMON STOCK 2020-03-24 S 12 d $61.55 85,064 direct
COMMON STOCK 2020-03-24 S 18 d $64.27 85,046 direct
COMMON STOCK 2020-03-24 S 65 d $65.57 84,981 direct
COMMON STOCK 2020-03-24 S 19 d $66.59 84,962 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 3.63 2020-03-23 deemed execution date M 15,371 (d) 2026-07-26 common stock 15,371 $3.63 15,371 direct
STOCK OPTION (RIGHT TO BUY) 8.8 2020-03-23 deemed execution date M 3,729 (d) 2028-08-21 common stock 3,729 $8.80 22,402 direct
STOCK OPTION (RIGHT TO BUY) 8.8 2020-03-24 deemed execution date M 114 (d) 2028-08-21 common stock 114 $8.80 22,288 direct
Footnotes
IDfootnote
f1 these shares were sold under a pre-arranged sales plan pursuant to rule 10b5-1 under the securities exchange act of 1934, as amended.
f2 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $60.00 to $60.99, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f3 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $61.02 to $62.00, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f4 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $62.05 to $62.50, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f5 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $61.32 to $61.60, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f6 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $63.83 to $64.775, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f7 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $65.11 to $66.08, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f8 the price reported in column 4 is a weighted average price.the shares were sold in multiple transactions at prices ranging from $66.24 to $66.90, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f9 the 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.
f10 the stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on august 22, 2018.
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