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Filing Details

Accession Number:: 0001217234-21-000099
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-05-12 13:00:00
Reporting Period:: 2021-05-10

Accepted Time:: 2021-05-12 18:53:23
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	Executive Chair	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	2021-05-10	3,313	$5.90	412,757	No	4	M	Direct
Common Stock	Acquisiton	2021-05-10	8,108	$6.31	420,865	No	4	M	Direct
Common Stock	Acquisiton	2021-05-10	14,872	$12.24	435,737	No	4	M	Direct
Common Stock	Disposition	2021-05-10	10,284	$66.78	425,453	No	4	S	Direct
Common Stock	Disposition	2021-05-10	317	$68.61	425,136	No	4	S	Direct
Common Stock	Disposition	2021-05-10	15,692	$70.36	409,444	No	4	S	Direct
Common Stock	Acquisiton	2021-05-11	87,128	$12.24	496,572	No	4	M	Direct
Common Stock	Disposition	2021-05-11	29,792	$65.83	466,780	No	4	S	Direct
Common Stock	Disposition	2021-05-11	28,986	$66.35	437,794	No	4	S	Direct
Common Stock	Disposition	2021-05-11	21,985	$67.49	415,809	No	4	S	Direct
Common Stock	Disposition	2021-05-11	6,365	$68.30	409,444	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	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)	Disposition	2021-05-10	3,313	$5.90	3,313	$5.90
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-05-10	8,108	$6.31	8,108	$6.31
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-05-10	14,872	$12.24	14,872	$12.24
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-05-11	87,128	$12.24	87,128	$12.24

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
17,312	2027-10-27	No	4	M	Direct
12,032	2028-01-19	No	4	M	Direct
127,753	2028-06-29	No	4	M	Direct
40,625	2028-06-29	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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.455 to $67.28, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.02 to $68.85, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.67 to $70.515, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 to $66.00, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.005 to $67.00, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.01 to $68.01, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.015 to $68.60, 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.
25% of the shares subject to the option vested on October 20, 2018 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 19, 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 June 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter.