13G Filing: Midroc Invest AB and Caredx Inc. (NASDAQ:CDNA)

(e)

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An investment adviser in accordance with §§240.13d–1(b)(1)(ii)(E);

(f)

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An employee benefit plan or endowment fund in accordance with §§240.13d– 1(b)(1)(ii)(F);

(g)

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A parent holding company or control person in accordance with §240.13d– 1(b)(1)(ii)(G);

(h)

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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

(i)

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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;

(j)

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A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J).

(k)

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Group, in accordance with §240.3d–1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J), please specify the type of institution:

If this statement is filed pursuant to Rule 13d–1(c), check this box.  ☒

Item 4.

Ownership

(a)

Amount beneficially owned:

Midroc Invest AB may be deemed the beneficial owner of 1,918,042 shares of Common Stock that it holds directly. This amount consists of (i) 1,490,974 shares of Common Stock and (ii) 427,068 shares of Common Stock receivable by Midroc Invest AB upon exercise of presently held warrants.

(b)

Percent of class:

Midroc Invest AB: 8.84%

Calculation of percentage based on 21,704,712 shares of the Issuer’s Common Stock, which is comprised of 21,277,644 outstanding shares of the Issuer’s Common stock as reported on the Issuer’s Form 10-Q filed on November 14, 2016, plus an additional 427,068 shares of the Issuer’s Common Stock that can be purchased upon exercise of outstanding warrants to purchase shares of the Issuer’s Common Stock held by the Reporting Person.