Filing Details
- Accession Number:
- 0001181431-13-025315
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-03 21:45:26
- Reporting Period:
- 2013-05-01
- Filing Date:
- 2013-05-03
- Accepted Time:
- 2013-05-03 21:45:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1375557 | Guidance Software Inc. | GUID | Services-Prepackaged Software (7372) | 954661210 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1091426 | J Barry Plaga | C/O Guidance Software, Inc. 215 North Marengo Ave. Pasadena CA 91101 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-05-01 | 5,000 | $2.85 | 153,377 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-01 | 5,000 | $10.23 | 148,377 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-05-01 | 2,000 | $10.33 | 146,377 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-01 | 5,000 | $0.00 | 5,000 | $2.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-10-01 | 2018-10-31 | No | 4 | M | Direct |
Footnotes
- Pursuant to a Section 10b5-1 Plan established by Mr. Plaga on August 9, 2012, 2,000 shares of Common Stock and 5,000 shares of vested stock options representing a total of 7,000 shares of Common Stock were exercised and sold, at an average price of $10.257 per share.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.050 to $10.440 per share, inclusive.
- The reporting person undertakes to provide Guidance Software, Inc., any security holder of Guidance Software, Inc., 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 indicated in the footnotes to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.190 to $10.400 per share, inclusive.
- The exercised options are part of an award granted to Mr. Plaga on October 31, 2008, which fully vested over a four-year period after the grant date.
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