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