0000921895-23-000097.txt : 20230111 0000921895-23-000097.hdr.sgml : 20230111 20230111171140 ACCESSION NUMBER: 0000921895-23-000097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230109 FILED AS OF DATE: 20230111 DATE AS OF CHANGE: 20230111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Radoff Bradley Louis CENTRAL INDEX KEY: 0001380585 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38861 FILM NUMBER: 23524205 MAIL ADDRESS: STREET 1: 2727 KIRBY DRIVE STREET 2: UNIT 29L CITY: HOUSTON STATE: TX ZIP: 77098 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Radoff Family Foundation CENTRAL INDEX KEY: 0001496916 STATE OF INCORPORATION: TX FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38861 FILM NUMBER: 23524204 BUSINESS ADDRESS: STREET 1: 2727 KIRBY DRIVE STREET 2: UNIT 29L CITY: HOUSTON STATE: TX ZIP: 77098 BUSINESS PHONE: 713.877.0089 MAIL ADDRESS: STREET 1: 2727 KIRBY DRIVE STREET 2: UNIT 29L CITY: HOUSTON STATE: TX ZIP: 77098 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: 2925 RICHMOND AVENUE STREET 2: SUITE 1200 CITY: HOUSTON STATE: TX ZIP: 77098 BUSINESS PHONE: (800) 873-5141 MAIL ADDRESS: STREET 1: 2925 RICHMOND AVENUE STREET 2: SUITE 1200 CITY: HOUSTON STATE: TX ZIP: 77098 FORMER COMPANY: FORMER CONFORMED NAME: Guardion Health Sciences, LLC DATE OF NAME CHANGE: 20150513 4 1 form409076ghsi_01112023.xml OWNERSHIP DOCUMENT X0306 4 2023-01-09 0 0001642375 Guardion Health Sciences, Inc. GHSI 0001380585 Radoff Bradley Louis 2727 KIRBY DRIVE UNIT 29L HOUSTON TX 77098 0 0 1 0 0001496916 Radoff Family Foundation 2727 KIRBY DRIVE UNIT 29L HOUSTON TX 77098 0 0 0 1 See Footnote 1 Common Stock 2023-01-09 4 P 0 63983 6.7762 A 165162 D Common Stock 2023-01-09 4 P 0 20838 7.1948 A 186000 D Common Stock 2023-01-10 4 P 0 18630 7.3112 A 204630 D Common Stock 2023-01-10 4 P 0 13270 7.9989 A 217900 D Common Stock 25100 I By The Radoff Family Foundation This Form 4 is filed jointly by The Radoff Family Foundation ("Radoff Foundation") and Bradley L. Radoff (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.7762 to $7.0417 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.48 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.75 to $7.70 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.97 to $8.00 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Represents securities owned directly by Radoff Foundation. Mr. Radoff, as a director of Radoff Foundation, may be deemed the beneficial owner of the securities owned by Radoff Foundation. /s/ Bradley L. Radoff 2023-01-11 The Radoff Family Foundation, By: /s/ Bradley L. Radoff, Director 2023-01-11