Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Guardant Health, Inc.GH · Entity 3238 | Chief Financial Officer | September 01, 2020 | September 03, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Guardant Health, Inc.
Report date September 01, 2020 · Filed September 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 6,373 |
Ending reported balance
After 2020-09-01 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2020-09-01 · Sale · Disposed 22,360 · Balance 14,113 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 $93.05 to $94.02, 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. Row 2 · 2020-09-01 · Sale · Disposed 4,778 · Balance 9,335 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. F3: The price reported in Column 4 is a weighted average price.The shares were sold in multiple transactions at prices ranging from $94.06 to $95.00, 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. Row 3 · 2020-09-01 · Sale · Disposed 2,902 · Balance 6,433 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. F4: The price reported in Column 4 is a weighted average price.The shares were sold in multiple transactions at prices ranging from $95.08 to $96.05, 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. Row 4 · 2020-09-01 · Sale · Disposed 60 · Balance 6,373 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. |
Filing footnotes · ownership attribution and instrument terms
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 $93.05 to $94.02, 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 $94.06 to $95.00, 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 $95.08 to $96.05, 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 18, 2019 Filed Nov 20, 2019 17:56 UTC | Guardant Health, Inc. GH · Entity 3238 | Exercise / conversionCOMMON STOCK | 10,759 | $8.80 | $94,679.20 |
DisclosureSEC source: 0001628280-19-014367 · wf-form4_157429055431721.xml · nonDerivative · entry 2 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,443 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 17:56 UTC | Guardant Health, Inc. GH · Entity 3238 | Exercise / conversionCOMMON STOCK | 14,722 | $3.63 | $53,440.86 |
DisclosureSEC source: 0001628280-19-014367 · wf-form4_157429055431721.xml · nonDerivative · entry 1 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,684 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative | 27,548 | $0.00 Strike: $3.63 | $0.00 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · derivative · entry 7 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,464 Underlying: COMMON STOCK · 27,548 shares Expires 2026-07-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: 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. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 4,299 | $102.50 | $440,647.50 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · nonDerivative · entry 6 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,962 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Some of the shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 per share. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.21 to $103.01, 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. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 2,306 | $101.61 | $234,312.66 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · nonDerivative · entry 5 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,261 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Some of the shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 per share. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.20 to $102.13, 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. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 10,400 | $100.70 | $1,047,280.00 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · nonDerivative · entry 4 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,567 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Some of the shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 per share. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.15 to $101.14, 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. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 14,103 | $99.39 | $1,401,697.17 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · nonDerivative · entry 3 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,967 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Some of the shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 per share. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.12 to $100.00, 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. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 11,440 | $98.85 | $1,130,844.00 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · nonDerivative · entry 2 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,070 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Some of the shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 per share. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.12 to $99.11, 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. Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 20:26 UTC | Guardant Health, Inc. GH · Entity 3238 | Exercise / conversionCOMMON STOCK | 27,548 | $3.63 | $99,999.24 |
DisclosureSEC source: 0001628280-19-010967 · wf-form4_156626077072647.xml · nonDerivative · entry 1 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,510 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 17:22 UTC | Guardant Health, Inc. GH · Entity 3238 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 17,442 | $0.00 Strike: $94.47 | $0.00 |
DisclosureSEC source: 0001628280-19-010003 · wf-form4_156504011213146.xml · derivative · entry 2 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,442 Underlying: COMMON STOCK · 17,442 shares Expires 2029-07-31 F2 · derivative.exercise_date: The stock option vests and becomes exercisable in equal monthly installments over 48 months. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 17:22 UTC | Guardant Health, Inc. GH · Entity 3238 | GrantCOMMON STOCK | 5,758 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-010003 · wf-form4_156504011213146.xml · nonDerivative · entry 1 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,962 F1 · balance_after: Includes shares acquired under the Issuer's 2018 Employee Stock Purchase Plan that were not included in the Reporting Person's last Form 4 filing. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative | 18,562 | $0.00 Strike: $3.63 | $0.00 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · derivative · entry 9 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,012 Underlying: COMMON STOCK · 18,562 shares Expires 2026-07-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · derivative.exercise_date: 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 900 | $78.78 | $70,902.00 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 8 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,875 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.42 to $79.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 5,300 | $77.59 | $411,227.00 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 7 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,775 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.18 to $78.09, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 5,300 | $76.56 | $405,768.00 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 6 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,075 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.10 to $77.03, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 3,457 | $75.67 | $261,591.19 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 5 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,375 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.08 to $76.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 2,205 | $74.52 | $164,316.60 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 4 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,832 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.05 to $74.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 1,000 | $73.58 | $73,580.00 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 3 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,037 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.01 to $73.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | SaleCOMMON STOCK | 400 | $72.33 | $28,932.00 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 2 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,037 F1 · shares: These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of stock options at an exercise price of $3.63 pershare. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.91 to $72.70, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of theSecurities 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. Read SEC document |
| May 10, 2019 Filed May 10, 2019 21:24 UTC | Guardant Health, Inc. GH · Entity 3238 | Exercise / conversionCOMMON STOCK | 18,562 | $3.63 | $67,380.06 |
DisclosureSEC source: 0001628280-19-006611 · wf-form4_155753786907798.xml · nonDerivative · entry 1 BERTOCCI DEREK A · CIK 0001206964 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,437 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.