SEC Form 4 · accession 0000899243-17-027731
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
Nov 30, 2017
Accepted (ET)
Nov 30, 2017 · 9:23 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 Stock | Nov 30, 2017 | M | 10,948 | $3.36 | A | 84,225 | D | |
| Common StockF1 | Nov 30, 2017 | S | 10,948 | $7.1691 | D | 73,277 | 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)F2 | $3.36 | Nov 30, 2017 | M | 10,948 | D | — | Jan 1, 2018 | Common Stock | 10,948 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.135 to $7.22, 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.
- F2The shares subject to the option vested monthly over a four year period commencing January 1, 2008 and became fully vested on January 1, 2012.