SEC Form 4 · accession 0001019056-16-001553
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil Gagnon
10% Owner
Period of report
Sep 21, 2016
Accepted (ET)
Sep 23, 2016 · 5:25 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 | Sep 21, 2016 | P | 13,829 | $4.00 | A | 613,473 | D | |
| Common Stock | Sep 21, 2016 | P | 125,000 | $4.00 | A | 738,473 | D | |
| Common Stock | Sep 21, 2016 | P | 21,437 | $4.00 | A | 759,910 | D | |
| Common Stock | Sep 22, 2016 | P | 1,809 | $3.94 | A | 761,719 | D | |
| Common Stock | Sep 22, 2016 | P | 1,742 | $3.94 | A | 763,461 | D | |
| Common Stock | Sep 21, 2016 | P | 14,538 | $4.00 | A | 115,512 | I | By Limited Partner of the Family Partnership |
| Common Stock | Sep 22, 2016 | P | 331 | $3.94 | A | 28,969 | I | By self as Trustee of Gagnon Securities LLC Profit Sharing Plan |
| Common Stock | holding | — | — | — | 93,852 | I | By Managing Member as General Partner of Darwin Partnership | |
| Common Stock | holding | — | — | — | 952,464 | I | By Managing Member as General Partner of Gagnon Investment Associates |
Table II — derivative securities
No Table II lines on this filing.