SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/01/2022 | 3. Issuer Name and Ticker or Trading Symbol Guardant Health, Inc. [ GH ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
COMMON STOCK | 24,208 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
RESTRICTED STOCK UNITS | (1) | (2) | COMMON STOCK | 17,032(1) | 0.0 | D | |
STOCK OPTION (RIGHT TO BUY) | (3) | 08/21/2028 | COMMON STOCK | 15,660 | 8.8 | D | |
STOCK OPTION (RIGHT TO BUY) | (4) | 05/31/2027 | COMMON STOCK | 38,735 | 4.18 | D | |
STOCK OPTION (RIGHT TO BUY) | (5) | 11/01/2031 | COMMON STOCK | 10,100 | 117.61 | D | |
STOCK OPTION (RIGHT TO BUY) | (6) | 08/01/2029 | COMMON STOCK | 8,811 | 94.47 | D |
Explanation of Responses: |
1. The Restricted Stock Units consist of five grants totaling 17,032 shares outstanding as of May 1, 2022. The first grant was granted on August 1, 2019, of which 2,742 shares are outstanding and vests 25% annually commencing on August 1, 2019. The second grant was granted September 11, 2020, of which 3,142 shares are outstanding, and vests 25% annually commencing on September 9, 2020. The third grant was granted on November 4, 2020, of which 6,098 shares are outstanding, and vests 100% on November 4, 2024. The fourth grant was granted on November 2, 2021, of which 2,525 shares are outstanding, and vests 25% annually commencing on August 15, 2021. The fifth grant was granted on November 2, 2021, of which 2,525 shares are outstanding, and vests 25% on the first anniversary and quarterly thereafter commencing on September 1, 2021. |
2. Not applicable to Restricted Stock Units. |
3. The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on September 22, 2018. |
4. The stock option vests and becomes exercisable as to 25% of the shares on May 1, 2018, and then in equal monthly installments through May 1, 2021. |
5. The stock option vests and becomes exercisable as to 25% of the shares on August 8, 2022, and then in equal monthly installments through August 8, 2025. |
6. The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on September 1, 2019. |
Remarks: |
POA John Saia | 05/11/2022 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |