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Filing Details

Accession Number:: 0001209191-14-048750
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-23 20:34:43
Reporting Period:: 2014-07-21

Filing Date:: 2014-07-23
Accepted Time:: 2014-07-23 20:34:43
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1217234	Caredx Inc.	CDNA	Services-Medical Laboratories (8071)	943316839

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1032454	H Brook Byers	C/O Kleiner Perkins Caufield &Amp; Byers 2750 Sand Hill Rd. Menlo Park CA 94025		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-07-21	2,864	$0.00	2,864	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	768	$0.00	3,632	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	663	$0.00	4,295	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	1,215	$0.00	5,510	No	4	C	Direct
Common Stock	Acquisiton	2014-07-21	1,447	$0.00	6,957	No	4	C	Direct
Common Stock	Acquisiton	2014-07-22	526	$10.00	7,483	No	4	P	Direct
Common Stock	Acquisiton	2014-07-21	287,602	$0.00	287,602	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-21	77,114	$0.00	364,716	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-21	66,554	$0.00	431,270	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-21	121,961	$0.00	553,231	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-21	145,173	$0.00	698,404	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-22	52,770	$10.00	751,174	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	P	Direct
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option to Purchase Common Stock	Acquisiton	2014-07-21	5,255	$0.00	5,255	$10.00
Common Stock	Series C Preferred Stock	Disposition	2014-07-21	2,864	$0.00	2,864	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-21	768	$0.00	768	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-07-21	663	$0.00	663	$0.00
Common Stock	Series F Preferred Stock	Disposition	2014-07-21	1,215	$0.00	1,215	$0.00
Common Stock	Series G Preferred Stock	Disposition	2014-07-21	1,447	$0.00	1,447	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-07-21	287,602	$0.00	287,602	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-21	77,114	$0.00	77,114	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-07-21	66,554	$0.00	66,554	$0.00
Common Stock	Series F Preferred Stock	Disposition	2014-07-21	121,961	$0.00	121,961	$0.00
Common Stock	Series G Preferred Stock	Disposition	2014-07-21	145,173	$0.00	145,173	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,255	2024-07-21	No	4	A	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Indirect
0		No	4	C	Indirect
0		No	4	C	Indirect
0		No	4	C	Indirect
0		No	4	C	Indirect

Footnotes

Each share of the Issuer's Series C, Series D, Series E, Series F and Series G Preferred Stock converted into one share of Common Stock immediately prior to the closing of the Issuer's initial public offering without payment of consideration.
287,602 shares of which 279,713 shares are directly held by Kleiner Perkins Caufield & Byers X-A, LP ("KPCB X-A") and 7,889 shares are directly held by Kleiner Perkins Caufield & Byers X-B, LP ("KPCB X-B"). KPCB X Associates, LLC ("Associates") is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 118,292 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of certain individuals and entities associated with Kleiner Perkins Caufield & Byers (the "Principals") who each exercise their own voting and dispositive power over such shares.
364,716 shares of which 354,712 shares are directly held by KPCB X-A and 10,004 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 150,008 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
431,270 shares of which 419,441 shares are directly held by KPCB X-A and 11,829 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 177,381 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
553,231 shares of which 538,057 shares are directly held by KPCB X-A and 15,174 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 227,543 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
698,404 shares of which 679,372 shares are directly held by KPCB X-A and 19,032 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 287,305 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
751,174 shares of which 730,695 shares are directly held by KPCB X-A and 20,479 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 309,009 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
287,602 shares of which 279,713 shares are directly held by KPCB X-A and 7,889 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 118,292 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
77,114 shares of which 74,999 shares are directly held by KPCB X-A and 2,115 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 31,716 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
66,554 shares of which 64,729 shares are directly held by KPCB X-A and 1,825 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 27,373 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
121,961 shares of which 118,616 shares are directly held by KPCB X-A and 3,345 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 50,162 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
145,173 shares of which 141,315 shares are directly held by KPCB X-A and 3,858 shares are directly held by KPCB X-B. Associates is the general partner of KPCB X-A and KPCB X-B. Brook H. Byers is a managing member of Associates. Associates and Mr. Byers disclaim beneficial ownership of the shares held directly by KPCB X-A and KPCB X-B. Excludes 59,762 shares held in the name of "KPCB Holdings, Inc. as nominee" for the account of the Principals who each exercise their own voting and dispositive power over such shares.
Vests in equal monthly installments over a one-year period measured from the date of grant.
Not Applicable.