SEC Form 4 · accession 0001209191-15-024898
CareDx, Inc. · CDNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Ludlum
Officer — Chief Financial Officer
Period of report
Mar 6, 2015
Accepted (ET)
Mar 10, 2015 · 8:18 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 StockF1,F2 | Mar 6, 2015 | A | 30,000 | $0.00 | A | 37,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $6.49 | Mar 6, 2015 | A | 40,000 | A | — | Mar 6, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The reported securities are represented by restricted stock units 1/4th of which shall vest on January 21, 2016 and 1/4th of which shall vest on each yearly anniversary thereafter.
- F2The form 4 filed by the reporting person on July 23, 2014 incorrectly reported 2,000 shares as indirect ownership instead of direct ownership.
- F31/4th of the shares subject to the option shall vest on January 21, 2016 and 1/48th of the shares subject to the option shall vest monthly thereafter.