Filing Details
- Accession Number:
- 0000899243-18-019286
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-03 17:43:10
- Reporting Period:
- 2018-06-29
- Accepted Time:
- 2018-07-03 17:43:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1421333 | J Mitchell Nelles | C/O Caredx, Inc. 3260 Bayshore Boulevard Brisbane CA 94005 | Chief Operating Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-06-29 | 10,000 | $0.00 | 89,639 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2018-06-29 | 5,000 | $0.00 | 94,639 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2018-07-02 | 3,649 | $3.70 | 98,288 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-07-02 | 19,250 | $5.27 | 117,538 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-07-02 | 9,000 | $2.30 | 126,538 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-02 | 39,649 | $12.48 | 86,889 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2018-06-29 | 10,000 | $0.00 | 10,000 | $12.24 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-07-02 | 3,649 | $0.00 | 3,649 | $3.70 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-07-02 | 19,250 | $0.00 | 19,250 | $5.27 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-07-02 | 9,000 | $0.00 | 9,000 | $2.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | 2028-06-29 | No | 4 | A | Direct | |
| 0 | 2020-04-08 | No | 4 | M | Direct | |
| 13,750 | 2026-01-22 | No | 4 | M | Direct | |
| 3,938 | 2027-02-17 | No | 4 | M | Direct |
Footnotes
- The reported securities are represented by restricted stock units, 1/4th of which shall vest on June 1, 2019 and 1/4th of which shall vest on each anniversary thereafter.
- The reported securities are represented by restricted stock units, 100% of which were vested upon grant.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.68, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.
- 1/4th of the shares subject to the option shall vest on June 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter.
- 1/4th of the shares subject to the option vested on January 1, 2011 and 1/48th of the shares subject to the option vested monthly thereafter. The shares were fully vested as of January 1, 2014.
- 1/4th of the shares subject to the option vested on January 22, 2017 and 1/48th of the shares subject to the option vest monthly thereafter.
- 1/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.
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