SEC Form 4 · accession 0000899243-16-012213
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchell J Nelles
Officer — Chief Operating Officer
Period of report
Jan 22, 2016
Accepted (ET)
Jan 26, 2016 · 6:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001217234
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 22, 2016 | A | 11,000 | $0.00 | A | 50,277 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $5.27 | Jan 22, 2016 | A | 33,000 | A | — | Jan 22, 2026 | Common Stock | 33,000 | 33,000 | D |
Explanation of responses
- F1The reported securities are represented by restricted stock units 1/4th of which shall vest on January 22, 2017 and 1/4th of which shall vest on each yearly anniversary thereafter.
- F2Includes 3,000 shares that Reporting Person acquired pursuant to Issuer's 2014 Employee Stock Purchasing Plan on June 30, 2015.
- F31/4th of the shares subject to the option shall vest on January 22, 2017 and 1/48th of the shares subject to the option shall vest monthly thereafter.