TLS Beta Pte. Ltd. 3
3 · Guardant Health, Inc. · Filed Oct 3, 2018
Insider Transaction Report
Form 3
TLS Beta Pte. Ltd.
10% Owner
Holdings
- (indirect: By TLS Beta Pte. Ltd.)
SERIES D PREFERRED STOCK
→ COMMON STOCK (1,016,995 underlying) - (indirect: By TLS Beta Pte. Ltd.)
SERIES E PREFERRED STOCK
→ COMMON STOCK (596,012 underlying)
Footnotes (2)
- [F1]The shares of the Issuer's Series D and Series E Preferred Stock (collectively, the "Preferred Stock) are convertible, at the option of the holder, into shares of Common Stock at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Amended and Restated Certificate of Incorporation (as amended, the "Certificate of Incorporation")). The shares of Preferred Stock will automatically convert into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.
- [F2]The shares are directly held by TLS Beta Pte. Ltd., which is a direct wholly-owned subsidiary of Temasek Life Sciences Private Limited. Temasek Life Sciences Private Limited is a direct wholly-owned subsidiary of Fullerton Management Pte Ltd, or FMPL, which in turn is a direct wholly-owned subsidiary of Temasek Holdings (Private) Limited. Temasek Life Sciences Private Limited, FMPL and Temasek Holdings (Private) Limited may therefore be deemed to have or share beneficial ownership of the securities held by TLS Beta Pte. Ltd. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.