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Guardant Health (GH) CIO exercises RSUs and PBRSUs; 6,839 shares withheld for taxes

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Guardant Health, Inc. Chief Information Officer Kumud Kalia exercised equity awards that vested on March 15, 2026. A performance-based restricted stock unit award converted into 12,856 shares of common stock, and a separate restricted stock unit award converted into 637 shares of common stock, both at a price of $0.00 per share.

The company withheld 6,839 shares of common stock at $85.49 per share to satisfy tax obligations related to the vesting, which is treated as a tax-withholding disposition rather than an open-market sale. After these transactions, Kalia directly held 44,297 shares of Guardant Health common stock.

Positive

  • None.

Negative

  • None.
Insider Kalia Kumud
Role Chief Information Officer
Type Security Shares Price Value
Exercise Performance-Based Restricted Stock Units 12,856 $0.00 --
Exercise Restricted Stock Units 637 $0.00 --
Exercise Common Stock 12,856 $0.00 --
Exercise Common Stock 637 $0.00 --
Tax Withholding Common Stock 6,839 $85.49 $585K
Holdings After Transaction: Performance-Based Restricted Stock Units — 0 shares (Direct); Restricted Stock Units — 638 shares (Direct); Common Stock — 50,499 shares (Direct)
Footnotes (1)
  1. These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock units. The amount retained by the Company was not in excess of the amount of the tax liability. This represents a performance-based restricted stock unit award granted on June 7, 2023 with a 3-year performance metric. The second tranche metric was achieved and the shares vested on March 15, 2026. Not applicable for Restricted Stock Units. This represents a restricted stock unit award granted on June 9, 2023 that vests over a three-year period. 33% of the shares subject to such award vested on June 15, 2024 and the remaining 67% of the shares vests in equal quarterly installments over the remaining two-year period thereafter.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
Kalia Kumud
(Last) (First) (Middle)
3100 HANOVER STREET
(Street)
PALO ALTO CA 94304
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Guardant Health, Inc. [ GH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Information Officer
3. Date of Earliest Transaction (Month/Day/Year)
03/15/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/15/2026 M 12,856 A $0 50,499 D
Common Stock 03/15/2026 M 637 A $0 51,136 D
Common Stock 03/15/2026 F 6,839(1) D $85.49 44,297 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Performance-Based Restricted Stock Units $0 03/15/2026 M 12,856 (2) (3) Common Stock 12,856 $0 0 D
Restricted Stock Units $0 03/15/2026 M 637 (4) (3) Common Stock 637 $0 638 D
Explanation of Responses:
1. These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock units. The amount retained by the Company was not in excess of the amount of the tax liability.
2. This represents a performance-based restricted stock unit award granted on June 7, 2023 with a 3-year performance metric. The second tranche metric was achieved and the shares vested on March 15, 2026.
3. Not applicable for Restricted Stock Units.
4. This represents a restricted stock unit award granted on June 9, 2023 that vests over a three-year period. 33% of the shares subject to such award vested on June 15, 2024 and the remaining 67% of the shares vests in equal quarterly installments over the remaining two-year period thereafter.
Remarks:
/s/ John G. Saia, as attorney-in-fact for Kumud Kalia 03/17/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Guardant Health (GH) report for Kumud Kalia?

Guardant Health reported that CIO Kumud Kalia exercised performance-based and time-based restricted stock units into 12,856 and 637 shares of common stock on March 15, 2026, respectively. These conversions occurred at an exercise price of $0.00 per share.

Were any of Kumud Kalia’s Guardant Health (GH) transactions open-market sales?

No open-market sales were reported. The only disposition was an F-code transaction where 6,839 shares of common stock were withheld by Guardant Health at $85.49 per share to cover tax liabilities arising from the vesting of restricted stock unit awards.

How many Guardant Health (GH) shares does Kumud Kalia hold after these transactions?

Following the March 15, 2026 equity award vesting and related tax withholding, Chief Information Officer Kumud Kalia directly holds 44,297 shares of Guardant Health common stock. This figure reflects all reported acquisitions from restricted stock unit conversions and the tax-withholding disposition.

What performance-based award vested for Kumud Kalia at Guardant Health (GH)?

A performance-based restricted stock unit award granted on June 7, 2023, with a three-year performance metric, partially vested. The filing states that the second tranche metric was achieved, resulting in the vesting and conversion of 12,856 units into common shares on March 15, 2026.

How do Kumud Kalia’s time-based RSUs at Guardant Health (GH) vest?

The time-based restricted stock unit award was granted on June 9, 2023. 33% of the shares vested on June 15, 2024, and the remaining 67% vests in equal quarterly installments over the following two years, including the 637 units that vested on March 15, 2026.

Why did Guardant Health (GH) withhold 6,839 shares from Kumud Kalia?

Guardant Health retained 6,839 shares of common stock to satisfy tax withholding obligations related to the vesting of Kalia’s restricted stock units. The filing notes the amount withheld was not greater than his tax liability and was not an open-market sale.