0001493152-19-013279.txt : 20190822 0001493152-19-013279.hdr.sgml : 20190822 20190822165229 ACCESSION NUMBER: 0001493152-19-013279 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190815 FILED AS OF DATE: 20190822 DATE AS OF CHANGE: 20190822 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Evans David W CENTRAL INDEX KEY: 0001717370 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38861 FILM NUMBER: 191046517 MAIL ADDRESS: STREET 1: 4141 JUTLAND DRIVE, SUITE 215 CITY: SAN DIEGO STATE: CA ZIP: 92117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Guardion Health Sciences, Inc. CENTRAL INDEX KEY: 0001642375 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474428421 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 15150 AVENUE OF SCIENCE, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92128 BUSINESS PHONE: 858-605-9055 MAIL ADDRESS: STREET 1: 15150 AVENUE OF SCIENCE, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92128 FORMER COMPANY: FORMER CONFORMED NAME: Guardion Health Sciences, LLC DATE OF NAME CHANGE: 20150513 4 1 ownership.xml X0306 4 2019-08-15 0 0001642375 Guardion Health Sciences, Inc. GHSI 0001717370 Evans David W 4141 JUTLAND DRIVE, SUITE 215 SAN DIEGO CA 92117 1 1 0 0 Chief Science Officer Common Stock 2019-08-15 4 A 0 20000 0.44 A 1522500 D Common Stock 2019-08-21 4 A 0 20000 A 1542500 D Warrant 0.585 2019-08-15 4 A 0 20000 A 2024-08-15 Common Stock 20000 20000 D Warrant 0.585 2019-08-21 4 D 0 20000 D 2024-08-15 Common Stock 20000 0 D Reporting Person purchased 20,000 shares and 20,000 warrants (the "Warrants") at a combined purchase price of $.45 per share and warrant in the issuer's public offering (the "Offering"), which closed on August 15, 2019. The Warrants are exercisable immediately, and expire five years from the date of issuance. The Warrants provide that, beginning on the earlier of (i) 30 days from August 12, 2019 and (ii) the date on which the issuer's common stock trades an aggregate of more than 40,000,000 shares after the announcement of the pricing of the Offering, and ending on the twelve (12) month anniversary thereof, each Warrant may be exercised at the option of the holder on a cashless basis at a ratio of one Warrant for one share of common stock, in whole or in part, if the weighted average price of the common stock on the trading day immediately prior to the exercise date fails to exceed the initial exercise price of the Warrant. The reporting person exercised the Warrant, on a cashless basis at a ratio of one Warrant for one share of common stock, on August 21, 2019. /s/ David W. Evans 2019-08-22