Filing Details

Accession Number:
0000899243-18-019286
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-07-03 17:43:10
Reporting Period:
2018-06-29
Accepted Time:
2018-07-03 17:43:10
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
1421333 J Mitchell Nelles C/O Caredx, Inc.
3260 Bayshore Boulevard
Brisbane CA 94005
Chief Operating Officer No Yes No 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 2018-06-29 10,000 $0.00 89,639 No 4 A Direct
Common Stock Acquisiton 2018-06-29 5,000 $0.00 94,639 No 4 A Direct
Common Stock Acquisiton 2018-07-02 3,649 $3.70 98,288 No 4 M Direct
Common Stock Acquisiton 2018-07-02 19,250 $5.27 117,538 No 4 M Direct
Common Stock Acquisiton 2018-07-02 9,000 $2.30 126,538 No 4 M Direct
Common Stock Disposition 2018-07-02 39,649 $12.48 86,889 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 A Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Acquisiton 2018-06-29 10,000 $0.00 10,000 $12.24
Common Stock Employee Stock Option (right to buy) Disposition 2018-07-02 3,649 $0.00 3,649 $3.70
Common Stock Employee Stock Option (right to buy) Disposition 2018-07-02 19,250 $0.00 19,250 $5.27
Common Stock Employee Stock Option (right to buy) Disposition 2018-07-02 9,000 $0.00 9,000 $2.30
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,000 2028-06-29 No 4 A Direct
0 2020-04-08 No 4 M Direct
13,750 2026-01-22 No 4 M Direct
3,938 2027-02-17 No 4 M Direct
Footnotes
  1. The reported securities are represented by restricted stock units, 1/4th of which shall vest on June 1, 2019 and 1/4th of which shall vest on each anniversary thereafter.
  2. The reported securities are represented by restricted stock units, 100% of which were vested upon grant.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.68, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.
  4. 1/4th of the shares subject to the option shall vest on June 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter.
  5. 1/4th of the shares subject to the option vested on January 1, 2011 and 1/48th of the shares subject to the option vested monthly thereafter. The shares were fully vested as of January 1, 2014.
  6. 1/4th of the shares subject to the option vested on January 22, 2017 and 1/48th of the shares subject to the option vest monthly thereafter.
  7. 1/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.