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Filing Details

Accession Number:: 0001209191-14-048741
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-23 20:30:30
Reporting Period:: 2014-07-21

Filing Date:: 2014-07-23
Accepted Time:: 2014-07-23 20:30:30
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1217234	Caredx Inc.	CDNA	Services-Medical Laboratories (8071)	943316839

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1118829	Kleiner Perkins Caufield & Byers X A Lp	2750 Sand Hill Rd. Menlo Park CA 94025	No	No	Yes	No
1128699	Kleiner Perkins Caufield & Byers X B Lp	Kleiner Perkins Caufield &Amp; Byers 2750 Sand Hill Road Menlo Park CA 94025	No	No	Yes	No
1242712	Kpcb X Associates Llc	Kleiner Perkins Caufield &Amp; Byers 2750 Sand Hill Road Menlo Park CA 94025	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2014-07-21	287,602	$0.00	287,602	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	77,114	$0.00	364,716	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	66,554	$0.00	431,270	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	121,961	$0.00	553,231	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	145,173	$0.00	698,404	No	4	C	Direct
Common Stock	Acquisiton	2014-07-22	52,770	$10.00	751,174	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C Preferred Stock	Disposition	2014-07-21	287,602	$0.00	287,602	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-21	77,114	$0.00	77,114	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-07-21	66,554	$0.00	66,554	$0.00
Common Stock	Series F Preferred Stock	Disposition	2014-07-21	121,961	$0.00	121,961	$0.00
Common Stock	Series G Preferred Stock	Disposition	2014-07-21	145,173	$0.00	145,173	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct

Footnotes

Each share of the Issuer's Series C, Series D, Series E, Series F and Series G Preferred Stock converted into one share of Common Stock immediately prior to the closing of the Issuer's initial public offering without payment of consideration.
279,713 securities are directly held by Kleiner Perkins Caufield & Byers X-A, LP ("KPCB X-A") and 7,889 securities are directly held by Kleiner Perkins Caufield & Byers X-B, LP, ("KPCB X-B"). The managing member of KPCB X-A and KPCB X-B is KPCB X Associates, LLC ("KPCB X Associates"). The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 121,156 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
354,712 securities are directly held by KPCB X-A and 10,004 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 153,640 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
419,441 securities are directly held by KPCB X-A and 11,829 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 181,676 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
538,057 securities are directly held by KPCB X-A and 15,174 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 233,053 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
679,372 securities are directly held by KPCB X-A and 19,032 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 294,262 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
730,965 shares are directly held by KPCB X-A and 20,479 shares are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 316,492 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
279,713 securities are directly held by KPCB X-A and 7,889 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 121,156 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
74,999 securities are directly held by KPCB X-A and 2,115 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 32,484 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
64,729 securities are directly held by KPCB X-A and 1,825 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 28,036 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
118,616 securities are directly held by KPCB X-A and 3,345 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 51,377 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
141,315 securities are directly held by KPCB X-A and 3,858 securities are directly held by KPCB X-B. The managing member of KPCB X-A and KPCB X-B is KPCB X Associates. The voting and dispositive control over the shares is shared by individual managing directors of KPCB X Associates, none of whom has veto power. Excludes 61,209 shares in the aggregate beneficially owned by Brook H. Byers, a member of the Issuer's board of directors and individuals and entities affiliated with Kleiner Perkins Caufield & Byers. All shares are held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities each of whom exercises their own voting and dispositive control over such shares.
Not Applicable.