SEC Form 4 · accession 0000899243-19-002747
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Yee
Officer — Chief Medical Officer
Period of report
Feb 4, 2019
Accepted (ET)
Feb 5, 2019 · 9:56 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 | Feb 4, 2019 | A | 8,000 | $0.00 | A | 64,660 | D | |
| Common StockF2 | Feb 4, 2019 | A | 8,000 | $0.00 | A | 72,660 | D | |
| Common Stock | Feb 4, 2019 | F | 2,766 | $27.17 | D | 69,894 | 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 | $27.17 | Feb 4, 2019 | A | 16,000 | A | — | Feb 4, 2029 | Common Stock | 16,000 | 16,000 | D |
Explanation of responses
- F1The reported securities are represented by restricted stock units, 1/4th of which shall vest on February 4, 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.
- F3These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon the immediate vesting of restricted stock units.
- F41/4th of the shares subject to the option shall vest on February 4, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter.