Filing Details

Accession Number:
0001209191-14-048750
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-23 20:34:43
Reporting Period:
2014-07-21
Filing Date:
2014-07-23
Accepted Time:
2014-07-23 20:34:43
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 Insider Title Director Officer Large Shareholder Other
1032454 H Brook Byers C/O Kleiner Perkins Caufield &Amp; Byers
2750 Sand Hill Rd.
Menlo Park CA 94025
Yes No Yes 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 2014-07-21 2,864 $0.00 2,864 No 4 C Direct
Common Stock Acquisiton 2014-07-21 768 $0.00 3,632 No 4 C Direct
Common Stock Acquisiton 2014-07-21 663 $0.00 4,295 No 4 C Direct
Common Stock Acquisiton 2014-07-21 1,215 $0.00 5,510 No 4 C Direct
Common Stock Acquisiton 2014-07-21 1,447 $0.00 6,957 No 4 C Direct
Common Stock Acquisiton 2014-07-22 526 $10.00 7,483 No 4 P Direct
Common Stock Acquisiton 2014-07-21 287,602 $0.00 287,602 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-21 77,114 $0.00 364,716 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-21 66,554 $0.00 431,270 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-21 121,961 $0.00 553,231 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-21 145,173 $0.00 698,404 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-22 52,770 $10.00 751,174 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 P Direct
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Option to Purchase Common Stock Acquisiton 2014-07-21 5,255 $0.00 5,255 $10.00
Common Stock Series C Preferred Stock Disposition 2014-07-21 2,864 $0.00 2,864 $0.00
Common Stock Series D Preferred Stock Disposition 2014-07-21 768 $0.00 768 $0.00
Common Stock Series E Preferred Stock Disposition 2014-07-21 663 $0.00 663 $0.00
Common Stock Series F Preferred Stock Disposition 2014-07-21 1,215 $0.00 1,215 $0.00
Common Stock Series G Preferred Stock Disposition 2014-07-21 1,447 $0.00 1,447 $0.00
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
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,255 2024-07-21 No 4 A Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. 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.
  2. 287,602 shares of which 279,713 shares are directly held by Kleiner Perkins Caufield & Byers X-A, LP ("KPCB X-A") and 7,889 shares are directly held by Kleiner Perkins Caufield & Byers X-B, LP ("KPCB X-B"). KPCB X Associates, LLC ("Associates") is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 118,292 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of certain individuals and entities associated with Kleiner Perkins Caufield & Byers (the "Principals") who each exercise their own voting and dispositive power over such shares.
  3. 364,716 shares of which 354,712 shares are directly held by KPCB X-A and 10,004 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 150,008 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  4. 431,270 shares of which 419,441 shares are directly held by KPCB X-A and 11,829 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 177,381 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  5. 553,231 shares of which 538,057 shares are directly held by KPCB X-A and 15,174 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 227,543 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  6. 698,404 shares of which 679,372 shares are directly held by KPCB X-A and 19,032 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 287,305 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  7. 751,174 shares of which 730,695 shares are directly held by KPCB X-A and 20,479 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 309,009 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  8. 287,602 shares of which 279,713 shares are directly held by KPCB X-A and 7,889 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 118,292 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  9. 77,114 shares of which 74,999 shares are directly held by KPCB X-A and 2,115 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 31,716 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  10. 66,554 shares of which 64,729 shares are directly held by KPCB X-A and 1,825 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 27,373 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  11. 121,961 shares of which 118,616 shares are directly held by KPCB X-A and 3,345 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 50,162 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  12. 145,173 shares of which 141,315 shares are directly held by KPCB X-A and 3,858 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 59,762 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
  13. Vests in equal monthly installments over a one-year period measured from the date of grant.
  14. Not Applicable.