SEC Form 4 · accession 0000899243-17-005011
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Maag
Officer — See Remarks · Director
Period of report
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 6:39 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 | Feb 17, 2017 | A | 18,000 | $0.00 | A | 107,250 | D | |
| Common StockF3 | holding | — | — | — | 1,000 | I | As UTMA custodian for minor child | |
| Common StockF4 | holding | — | — | — | 1,000 | I | As UTMA custodian for minor child |
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)F5 | $2.30 | Feb 17, 2017 | A | 60,000 | A | — | Feb 17, 2027 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1The reported securities are represented by restricted stock units 1/4th of which shall vest on January 27, 2018 and 1/4th of which shall vest on each yearly anniversary thereafter.
- F2Includes 6,000 shares that Reporting Person acquired pursuant to Issuer's 2014 Employee Stock Purchasing Plan; 3,000 shares on June 30, 2015 and 3,000 shares on June 30, 2016.
- F3Shares 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.
- F4Shares 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.
- F51/4th of the shares subject to the option shall vest on January 27, 2018 and 1/48th of the shares subject to the option shall vest monthly thereafter.
Remarks
President and Chief Executive Officer