SEC Form 4 · accession 0001019056-16-001256
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
Neil Gagnon
10% Owner
Period of report
Apr 14, 2016
Accepted (ET)
Apr 18, 2016 · 9:53 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 | Apr 14, 2016 | P | 10,890 | $3.99 | A | 419,638 | D | |
| Common Stock | Apr 14, 2016 | P | 1,341 | $3.99 | A | 420,979 | D | |
| Common Stock | Apr 14, 2016 | P | 3,517 | $3.99 | A | 424,496 | D | |
| Common Stock | Apr 14, 2016 | P | 9,078 | $3.99 | A | 433,574 | D | |
| Common Stock | Apr 14, 2016 | P | 3,746 | $3.99 | A | 437,320 | D | |
| Common Stock | Apr 14, 2016 | P | 2,320 | $3.99 | A | 439,640 | D | |
| Common Stock | Apr 15, 2016 | P | 5,544 | $4.48 | A | 445,184 | D | |
| Common Stock | Apr 14, 2016 | P | 1,203 | $3.99 | A | 20,277 | I | By self as Trustee of Gagnon Securities LLC Profit Sharing Plan |
| Common Stock | Apr 14, 2016 | P | 391 | $3.99 | A | 20,668 | I | By self as Trustee of Gagnon Securities LLC Profit Sharing Plan |
| Common Stock | Apr 14, 2016 | P | 4,477 | $3.99 | A | 71,467 | I | By Managing Member as General Partner of Darwin Partnership |
| Common Stock | Apr 14, 2016 | P | 4,817 | $3.99 | A | 76,889 | I | By Limited Partner of the Family Partnership |
| Common Stock | Apr 14, 2016 | P | 45,916 | $3.99 | A | 722,884 | I | By Managing Member as General Partner of Gagnon Investment Associates |
Table II — derivative securities
No Table II lines on this filing.