SEC Form 4 · accession 0001019056-16-001387

CareDx, Inc. · CDNA

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

Reporting owner

10% Owner

Period of report

Jun 21, 2016

Accepted (ET)

Jun 23, 2016 · 7:42 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^F1	Jun 21, 2016	C	154,460	$3.99	A	599,644	D
Common Stock^F1	Jun 21, 2016	C	7,970	$3.99	A	28,638	I	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Common Stock^F1	Jun 21, 2016	C	22,385	$3.99	A	93,852	I	By Managing Member as General Partner of Darwin Partnership
Common Stock^F1	Jun 21, 2016	C	24,085	$3.99	A	100,974	I	By Limited Partner of the Family Partnership
Common Stock^F1	Jun 21, 2016	C	229,580	$3.99	A	952,464	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	D/I
Preferred Stock^F2	—	Jun 21, 2016	C	154,460	D	—	—	Common Stock	154,460	D
Preferred Stock^F2	—	Jun 21, 2016	C	7,970	D	—	—	Common Stock	7,970	I
Preferred Stock^F2	—	Jun 21, 2016	C	22,385	D	—	—	Common Stock	22,385	I
Preferred Stock^F2	—	Jun 21, 2016	C	24,085	D	—	—	Common Stock	24,085	I
Preferred Stock^F2	—	Jun 21, 2016	C	229,580	D	—	—	Common Stock	229,580	I

F1Pursuant 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).
F2The Series A Mandatorily Convertible Preferred Stock of the Company automatically converted into the Company's common stock on a one-for-one basis upon the affirmative vote of the Company's stockholders at the Company's 2016 Annual Meeting of Stockholders.