Filing Details

Accession Number:
0001217234-21-000038
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-02-05 19:21:37
Reporting Period:
2021-02-03
Accepted Time:
2021-02-05 19:21:37
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
1613855 Peter Maag C/O Caredx, Inc.
1 Tower Place, 9Th Floor
South San Francisco CA 94080
Executive Chair Yes 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 2021-02-03 13,076 $0.00 422,800 No 4 A Direct
Common Stock Disposition 2021-02-05 7,983 $89.58 414,817 No 4 S Direct
Common Stock Disposition 2021-02-05 1,316 $90.36 413,501 No 4 S Direct
Common Stock Disposition 2021-02-05 657 $91.53 412,844 No 4 S Direct
Common Stock Disposition 2021-02-05 44 $92.15 412,800 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
No 4 S Direct
No 4 S 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 2021-02-03 13,075 $0.00 13,075 $87.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,075 2031-02-03 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,000 Indirect As UTMA custodian for minor child
Common Stock 1,000 Indirect As UTMA custodian for minor child
Footnotes
  1. The reported securities are represented by restricted stock units, 1/4th of which shall vest on February 3, 2022 and 1/4th of which shall vest on each anniversary thereafter.
  2. These shares remain subject to a lock-up agreement entered into among the Reporting Person and the representatives of the underwriters for the Issuer's public offering of common stock completed in January 2021.
  3. The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 5, 2020.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.00 to $89.97, 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.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.03 to $90.88, 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.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.04 to $92.00, 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.
  7. Shares are held of record by the Reporting Person as custodian for a minor child under the Uniform Transfer to Minors Act. The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
  8. 1/4th of the shares subject to the option shall vest on February 3, 2022 and 1/48th of the shares subject to the option shall vest monthly thereafter.