SEC Form 4 · accession 0001019056-17-000307
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil Gagnon
10% Owner
Period of report
Jan 20, 2017
Accepted (ET)
Mar 20, 2017 · 11:35 am 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 | Jan 20, 2017 | P | 14,672 | $2.60 | A | 778,133 | D | |
| Common Stock | Jan 20, 2017 | P | 4,374 | $2.60 | A | 782,507 | D | |
| Common Stock | Jan 20, 2017 | P | 2,930 | $2.60 | A | 31,899 | I | By self as Trustee of Gagnon Securities LLC Profit Sharing Plan |
| Common Stock | Mar 16, 2017 | P | 35,406 | $1.66 | A | 817,913 | D | |
| Common Stock | Mar 16, 2017 | P | 40,899 | $1.66 | A | 858,812 | D | |
| Common Stock | Mar 16, 2017 | P | 24,852 | $1.66 | A | 140,364 | I | By Limited Partner of the Family Partnership |
| Common Stock | Mar 16, 2017 | P | 27 | $1.66 | A | 31,926 | 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.