Home > Insider Trading > Filing (0001019056-16-001262)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1217234	Caredx Inc.	CDNA	()	4/A

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1070170	Neil Gagnon	1370 Avenue Of The Americas 24Th Floor New York NY 10019		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Preferred Stock	Acquisiton	2016-04-14	54,450	$0.00	54,450	No	4	P	Direct
Preferred Stock	Acquisiton	2016-04-14	6,705	$0.00	61,155	No	4	P	Direct
Preferred Stock	Acquisiton	2016-04-14	17,585	$0.00	78,740	No	4	P	Direct
Preferred Stock	Acquisiton	2016-04-14	45,390	$0.00	124,130	No	4	P	Direct
Preferred Stock	Acquisiton	2016-04-14	18,730	$0.00	142,860	No	4	P	Direct
Preferred Stock	Acquisiton	2016-04-14	11,600	$0.00	154,460	No	4	P	Direct
Preferred Stock	Acquisiton	2016-04-14	6,015	$0.00	6,015	No	4	P	Indirect	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Preferred Stock	Acquisiton	2016-04-14	1,955	$0.00	7,970	No	4	P	Indirect	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Preferred Stock	Acquisiton	2016-04-14	22,385	$0.00	22,385	No	4	P	Indirect	By Managing Member as General Partner of Darwin Partnership
Preferred Stock	Acquisiton	2016-04-14	24,085	$0.00	24,085	No	4	P	Indirect	By Limited Partner of the Family Partnership
Preferred Stock	Acquisiton	2016-04-14	229,580	$0.00	229,580	No	4	P	Indirect	By Managing Member as General Partner of Gagnon Investment Associates

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Indirect	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
No	4	P	Indirect	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
No	4	P	Indirect	By Managing Member as General Partner of Darwin Partnership
No	4	P	Indirect	By Limited Partner of the Family Partnership
No	4	P	Indirect	By Managing Member as General Partner of Gagnon Investment Associates

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant	Acquisiton	2016-04-14	32,670	$0.00	32,670	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	4,023	$0.00	4,023	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	10,551	$0.00	10,551	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	27,234	$0.00	27,234	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	11,238	$0.00	11,238	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	6,960	$0.00	6,960	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	3,609	$0.00	3,609	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	1,173	$0.00	1,173	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	13,431	$0.00	13,431	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	14,451	$0.00	14,451	$4.98
Common Stock	Warrant	Acquisiton	2016-04-14	137,748	$0.00	137,748	$4.98

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
32,670	No	4	P	Direct
36,693	No	4	P	Direct
47,244	No	4	P	Direct
74,478	No	4	P	Direct
85,716	No	4	P	Direct
92,676	No	4	P	Direct
3,609	No	4	P	Indirect
4,782	No	4	P	Indirect
13,431	No	4	P	Indirect
14,451	No	4	P	Indirect
137,748	No	4	P	Indirect

Footnotes

Series A Mandatorily Convertible Preferred Stock of the Company, par value $0.001 per share ("Preferred Stock"). Each share of Preferred Stock is convertible upon receipt of stockholder approval.
Pursuant to a securities purchase agreement entered into on April 12, 2016, the Reporting Person acquired units of the Company comprising of (i) common stock, (ii) preferred stock, and (iii) warrants, at a purchase price of $23.94 per unit (the equivalent of $3.99 per share of common stock, assuming conversion of the Preferred Stock).
Each warrant is exercisable for a period of seven (7) years into one share of Common Stock at an initial exercise price of $4.98 per share, subject to certain adjustments. Pursuant to the terms of the warrant, the holder of the warrant cannot exercise the warrant until the Company has obtained the requisite stockholder approval.