SEC Form 4 · accession 0000899243-18-019286
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Mitchell J Nelles
Officer — Chief Operating Officer
Period of report
Jun 29, 2018
Accepted (ET)
Jul 3, 2018 · 5:43 pm EDT
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 | Jun 29, 2018 | A | 10,000 | $0.00 | A | 89,639 | D | |
| Common StockF2 | Jun 29, 2018 | A | 5,000 | $0.00 | A | 94,639 | D | |
| Common Stock | Jul 2, 2018 | M | 3,649 | $3.70 | A | 98,288 | D | |
| Common Stock | Jul 2, 2018 | M | 19,250 | $5.27 | A | 117,538 | D | |
| Common Stock | Jul 2, 2018 | M | 9,000 | $2.30 | A | 126,538 | D | |
| Common StockF3 | Jul 2, 2018 | S | 39,649 | $12.4823 | D | 86,889 | 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)F4 | $12.24 | Jun 29, 2018 | A | 10,000 | A | — | Jun 29, 2028 | Common Stock | 10,000 | 10,000 | D |
| Employee Stock Option (right to buy)F5 | $3.70 | Jul 2, 2018 | M | 3,649 | D | — | Apr 8, 2020 | Common Stock | 3,649 | 0 | D |
| Employee Stock Option (right to buy)F6 | $5.27 | Jul 2, 2018 | M | 19,250 | D | — | Jan 22, 2026 | Common Stock | 19,250 | 13,750 | D |
| Employee Stock Option (right to buy)F7 | $2.30 | Jul 2, 2018 | M | 9,000 | D | — | Feb 17, 2027 | Common Stock | 9,000 | 3,938 | D |
Explanation of responses
- F1The reported securities are represented by restricted stock units, 1/4th of which shall vest on June 1, 2019 and 1/4th of which shall vest on each anniversary thereafter.
- F2The reported securities are represented by restricted stock units, 100% of which were vested upon grant.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.68, 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.
- F41/4th of the shares subject to the option shall vest on June 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter.
- F51/4th of the shares subject to the option vested on January 1, 2011 and 1/48th of the shares subject to the option vested monthly thereafter. The shares were fully vested as of January 1, 2014.
- F61/4th of the shares subject to the option vested on January 22, 2017 and 1/48th of the shares subject to the option vest monthly thereafter.
- F71/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.