SEC Form 3 · accession 0000950157-17-001035
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Midroc Invest AB
10% Owner
Period of report
Jul 3, 2017
Accepted (ET)
Jul 7, 2017 · 4:48 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 Stock | holding | — | — | — | 1,967,436 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1,F2 | — | holding | — | — | — | — | — | Common Stock | 427,068 | — | D |
Explanation of responses
- F1The Warrants may be exercised by the holder at any time on or after June 16, 2016 and expire as of June 16, 2023. The Warrants have an initial exercise price of $4.98 per share of Common Stock, subject to certain adjustments.
- F2The holder may not exercise the Warrants to the extent that after giving effect to such exercise, such holder would beneficially own in excess of a Maximum Percentage of shares of Common Stock outstanding immediately after giving effect to such exercise. As of July 7, 2017, the Maximum Percentage was 4.99%.