SEC Form 4 · accession 0000899243-19-003537
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 12, 2019
Accepted (ET)
Feb 13, 2019 · 9:38 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 12, 2019 | M | 3,649 | $3.699 | A | 73,543 | D | |
| Common Stock | Feb 12, 2019 | M | 3,649 | $3.973 | A | 77,192 | D | |
| Common StockF2 | Feb 12, 2019 | S | 32,500 | $23.88 | D | 44,692 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF3 | $3.699 | Feb 12, 2019 | M | 3,649 | D | — | Apr 8, 2020 | Common Stock | 3,649 | 0 | D |
| Option to Purchase Common StockF3 | $3.973 | Feb 12, 2019 | M | 3,649 | D | — | Aug 27, 2020 | Common Stock | 3,649 | 0 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.68 to $24.24, 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.
- F3Immediately.