Filing Details
- Accession Number:
- 0000899243-19-004150
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-19 19:34:20
- Reporting Period:
- 2019-02-15
- Accepted Time:
- 2019-02-19 19:34:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1702824 | Brian Michael Bell | C/O Caredx, Inc. 3260 Bayshore Boulevard Brisbane CA 94005 | Chief Financial 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 | 2019-02-15 | 5,000 | $1.00 | 82,198 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-02-15 | 5,694 | $2.80 | 87,892 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-02-15 | 13,925 | $5.90 | 101,817 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-02-15 | 3,503 | $6.31 | 105,320 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-02-15 | 28,122 | $25.40 | 77,198 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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) | Disposition | 2019-02-15 | 5,000 | $0.00 | 5,000 | $1.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2019-02-15 | 5,694 | $0.00 | 5,694 | $2.80 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2019-02-15 | 13,925 | $0.00 | 13,925 | $5.90 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2019-02-15 | 3,503 | $0.00 | 3,503 | $6.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 35,000 | 2027-04-21 | No | 4 | M | Direct | |
| 4,306 | 2027-09-01 | No | 4 | M | Direct | |
| 31,075 | 2027-10-27 | No | 4 | M | Direct | |
| 10,510 | 2028-01-19 | No | 4 | M | Direct |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.63, 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 vested on April 21, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.
- 1/2 of the shares subject to the option vested on September 1, 2018 and 1/72nd of the shares subject to the option vest monthly thereafter.
- 1/4th of the shares subject to the option vested on October 20, 2018 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 19, 2019 and 1/48th of the shares subject to the option vest monthly thereafter.
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