SEC Form 4 · accession 0000899243-19-004150
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Brian Bell
Officer — Chief Financial Officer
Period of report
Feb 15, 2019
Accepted (ET)
Feb 19, 2019 · 7:34 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 15, 2019 | M | 5,000 | $1.00 | A | 82,198 | D | |
| Common Stock | Feb 15, 2019 | M | 5,694 | $2.80 | A | 87,892 | D | |
| Common Stock | Feb 15, 2019 | M | 13,925 | $5.90 | A | 101,817 | D | |
| Common Stock | Feb 15, 2019 | M | 3,503 | $6.31 | A | 105,320 | D | |
| Common StockF2 | Feb 15, 2019 | S | 28,122 | $25.40 | D | 77,198 | 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)F3 | $1.00 | Feb 15, 2019 | M | 5,000 | D | — | Apr 21, 2027 | Common Stock | 5,000 | 35,000 | D |
| Employee Stock Option (right to buy)F4 | $2.80 | Feb 15, 2019 | M | 5,694 | D | — | Sep 1, 2027 | Common Stock | 5,694 | 4,306 | D |
| Employee Stock Option (right to buy)F5 | $5.90 | Feb 15, 2019 | M | 13,925 | D | — | Oct 27, 2027 | Common Stock | 13,925 | 31,075 | D |
| Employee Stock Option (right to buy)F6 | $6.31 | Feb 15, 2019 | M | 3,503 | D | — | Jan 19, 2028 | Common Stock | 3,503 | 10,510 | 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.63, 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.
- F31/4th of the shares subject to the option vested on April 21, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.
- F41/2 of the shares subject to the option vested on September 1, 2018 and 1/72nd of the shares subject to the option vest monthly thereafter.
- F51/4th of the shares subject to the option vested on October 20, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.
- F61/4th of the shares subject to the option vested on January 19, 2019 and 1/48th of the shares subject to the option vest monthly thereafter.