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Filing Details

Accession Number:: 0001217234-20-000131
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-07 21:25:02
Reporting Period:: 2020-07-06

Accepted Time:: 2020-07-07 21:25:02
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
1613855	Peter Maag	C/O Caredx, Inc. 1 Tower Place, 9Th Floor South San Francisco CA 94080	Chief Executive Officer	Yes	Yes	No	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
Common Stock	Acquisiton	2020-07-06	40,000	$0.00	421,974	No	4	A	Direct
Common Stock	Acquisiton	2020-07-06	2,777	$2.80	424,751	No	4	M	Direct
Common Stock	Acquisiton	2020-07-06	1,983	$2.30	426,734	No	4	M	Direct
Common Stock	Acquisiton	2020-07-06	5,240	$5.27	431,974	No	4	M	Direct
Common Stock	Disposition	2020-07-06	10,000	$34.21	421,974	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Acquisiton	2020-07-06	20,000	$0.00	20,000	$34.49
Common Stock	Employee Stock Option (right to buy)	Disposition	2020-07-06	2,777	$0.00	2,777	$2.80
Common Stock	Employee Stock Option (right to buy)	Disposition	2020-07-06	1,983	$0.00	1,983	$2.30
Common Stock	Employee Stock Option (right to buy)	Disposition	2020-07-06	5,240	$0.00	5,240	$5.27

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
20,000	2030-07-06	No	4	A	Direct
7,292	2027-09-01	No	4	M	Direct
16,250	2027-02-17	No	4	M	Direct
23,129	2026-01-22	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,000	Indirect	As UTMA custodian for minor child
Common Stock	1,000	Indirect	As UTMA custodian for minor child

Footnotes

The reported securities are represented by restricted stock units, 1/4th of which shall vest on July 6, 2021 and 1/4th of which shall vest on each anniversary thereafter.
The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person, dated May 5, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.01 to $34.67, 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.
Shares are held of record by the Reporting Person as custodian for a minor child under the Uniform Transfer to Minors Act. The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
1/4th of the shares subject to the option shall vest on July 6, 2021 and 1/48th of the shares subject to the option shall vest monthly thereafter.
50% 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 January 27, 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 22, 2017 and 1/48th of the shares subject to the option vest monthly thereafter.