# EDGAR Filing Document

**Accession Number:** 0001927831
**File Stem:** 0001576280-23-000022
**Filing Date:** 2023-3
**Character Count:** 6877
**Document Hash:** fef5daa36f96e7dbaeec6c21d005f54b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001576280-23-000022.hdr.sgml**: 20230302

**ACCESSION NUMBER**: 0001576280-23-000022

**CONFORMED SUBMISSION TYPE**: 3/A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220501

**FILED AS OF DATE**: 20230302

**DATE AS OF CHANGE**: 20230302

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Kalia Kumud
- **CENTRAL INDEX KEY:** 0001927831

**FILING VALUES:**
- **FORM TYPE:** 3/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38683
- **FILM NUMBER:** 23700586

**MAIL ADDRESS:**
- **STREET 1:** 505 PENOBSCOT DRIVE
- **CITY:** REDWOOD CITY
- **STATE:** CA
- **ZIP:** 94063
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Guardant Health, Inc.
- **CENTRAL INDEX KEY:** 0001576280
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MEDICAL LABORATORIES [8071]
- **IRS NUMBER:** 454139254
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 3100 HANOVER STREET
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94304
- **BUSINESS PHONE:** 855-698-8887

**MAIL ADDRESS:**
- **STREET 1:** 3100 HANOVER STREET
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94304

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3/A

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Kalia Kumud<br><sub>(Last) (First) (Middle)</sub><br>3100 HANOVER STREET<br><sub>(Street)</sub><br>PALO ALTO, CA 94304<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-05-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Information Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Guardant Health, Inc. [ GH ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| COMMON STOCK |  |  |  |  |  |  |  | 3904 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| RESTRICTED STOCK UNITS | $0.0 |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(2)</sup> | COMMON STOCK | 41747.0 |  |  | D |  |
| STOCK OPTION (RIGHT TO BUY) | $117.61 |  |  |  |  |  |  | <sup>(3)</sup> | 2031-11-01 | COMMON STOCK | 22726.0 |  |  | D |  |
| STOCK OPTION (RIGHT TO BUY) | $74.0 |  |  |  |  |  |  | <sup>(4)</sup> | 2030-04-20 | COMMON STOCK | 28670.0 |  |  | D |  |

---

### Footnotes:

(1) (1)The Restricted Stock Units consist of three grants totaling 41,747 shares outstanding as of May 1, 2022. The first grant was granted on April 20, 2020, of which 10,751 shares are outstanding and vests 25% annually commencing on January 7, 2020. The second grant was granted on September 11, 2020, of which 19,633 shares are outstanding and vests 25% annually commencing on September 9, 2020. The third grant was granted on November 2, 2021, of which 11,363 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 as to 25% of the shares on September 1, 2022, and then in equal monthly installments through September 1, 2025.

(4) The stock option vests and becomes exercisable as to 25% of the shares on January 7, 2021, and then in equal monthly installments through January 7, 2024.

**Remarks:**
Amending Form 3 to decrease the previously stated "Amount of Securities Beneficially Owned" in Table I, box 2 by 16,626 shares as of Mr. Kalia's May 2022 appointment date.

**Signature:** /s/ John Saia, as attorney-in-fact for Kalia Kumud  
**Date:** 2023-03-02

### Remarks:

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 4 (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.**