SEC Form 4 · accession 0000899243-18-004365
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 14, 2018
Accepted (ET)
Feb 15, 2018 · 9:37 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 | Feb 14, 2018 | M | 89,938 | $0.548 | D | 237,037 | D | |
| Common StockF1 | holding | — | — | — | 1,000 | I | As UTMA custodian for minor child | |
| Common StockF1 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $0.548 | Feb 14, 2018 | M | 89,938 | D | Nov 1, 2012 | Oct 17, 2022 | Common Stock | 89,938 | 100,000 | D |
Explanation of responses
- F1Shares 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.
- F22/48ths of the shares subject to this option vested and became exercisable on the Date Exercisable set forth in column 6 and each month thereafter until October 1, 2013. 1/36th of the remaining shares vested and became exercisable each month thereafter.
Remarks
President and Chief Executive Officer