SEC Form 4/A · accession 0001019056-16-001262

CareDx, Inc. · CDNA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

10% Owner

Period of report

Apr 14, 2016

Accepted (ET)

Apr 19, 2016 · 8:54 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
Preferred Stock^F1,F2	Apr 14, 2016	P$0	54,450	—	A	54,450	D
Preferred Stock^F1,F2	Apr 14, 2016	P$0	6,705	—	A	61,155	D
Preferred Stock^F1,F2	Apr 14, 2016	P$0	17,585	—	A	78,740	D
Preferred Stock^F1,F2	Apr 14, 2016	P$0	45,390	—	A	124,130	D
Preferred Stock^F1,F2	Apr 14, 2016	P$0	18,730	—	A	142,860	D
Preferred Stock^F1,F2	Apr 14, 2016	P$0	11,600	—	A	154,460	D
Preferred Stock^F1,F2	Apr 14, 2016	P$0	6,015	—	A	6,015	I	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Preferred Stock^F1,F2	Apr 14, 2016	P$0	1,955	—	A	7,970	I	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Preferred Stock^F1,F2	Apr 14, 2016	P$0	22,385	—	A	22,385	I	By Managing Member as General Partner of Darwin Partnership
Preferred Stock^F1,F2	Apr 14, 2016	P$0	24,085	—	A	24,085	I	By Limited Partner of the Family Partnership
Preferred Stock^F1,F2	Apr 14, 2016	P$0	229,580	—	A	229,580	I	By Managing Member as General Partner of Gagnon Investment Associates

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F2,F3	$4.98	Apr 14, 2016	P	32,670	A	—	—	Common Stock	32,670	32,670	D
Warrant^F2,F3	$4.98	Apr 14, 2016	P	4,023	A	—	—	Common Stock	4,023	36,693	D
Warrant^F2,F3	$4.98	Apr 14, 2016	P	10,551	A	—	—	Common Stock	10,551	47,244	D
Warrant^F2,F3	$4.98	Apr 14, 2016	P	27,234	A	—	—	Common Stock	27,234	74,478	D
Warrant^F2,F3	$4.98	Apr 14, 2016	P	11,238	A	—	—	Common Stock	11,238	85,716	D
Warrant^F2,F3	$4.98	Apr 14, 2016	P	6,960	A	—	—	Common Stock	6,960	92,676	D
Warrant^F2,F3	$4.98	Apr 14, 2016	P	3,609	A	—	—	Common Stock	3,609	3,609	I
Warrant^F2,F3	$4.98	Apr 14, 2016	P	1,173	A	—	—	Common Stock	1,173	4,782	I
Warrant^F2,F3	$4.98	Apr 14, 2016	P	13,431	A	—	—	Common Stock	13,431	13,431	I
Warrant^F2,F3	$4.98	Apr 14, 2016	P	14,451	A	—	—	Common Stock	14,451	14,451	I
Warrant^F2,F3	$4.98	Apr 14, 2016	P	137,748	A	—	—	Common Stock	137,748	137,748	I

F1Series A Mandatorily Convertible Preferred Stock of the Company, par value $0.001 per share ("Preferred Stock"). Each share of Preferred Stock is convertible upon receipt of stockholder approval.
F2Pursuant to a securities purchase agreement entered into on April 12, 2016, the Reporting Person acquired units of the Company comprising of (i) common stock, (ii) preferred stock, and (iii) warrants, at a purchase price of $23.94 per unit (the equivalent of $3.99 per share of common stock, assuming conversion of the Preferred Stock).
F3Each warrant is exercisable for a period of seven (7) years into one share of Common Stock at an initial exercise price of $4.98 per share, subject to certain adjustments. Pursuant to the terms of the warrant, the holder of the warrant cannot exercise the warrant until the Company has obtained the requisite stockholder approval.

This Form 4 is being amended to disclose the Reporting Person's acquisition of Preferred Stock and warrants.