Filing Details
- Accession Number:
- 0001217234-21-000206
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-17 18:59:14
- Reporting Period:
- 2021-06-25
- Accepted Time:
- 2021-08-17 18:59:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1688485 | Reginald Seeto | C/O Caredx, Inc. 1 Tower Place, 9Th Floor South San Francisco CA 94080 | See Remarks | Yes | 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 | 2021-06-25 | 3,247 | $24.35 | 135,618 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-25 | 5,963 | $27.72 | 141,581 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-25 | 9,210 | $95.15 | 132,371 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-06-28 | 1,545 | $24.35 | 133,916 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-28 | 11,667 | $27.17 | 145,583 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-28 | 8,522 | $95.42 | 137,061 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-06-28 | 4,690 | $96.34 | 132,371 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-08-11 | 10,821 | $27.72 | 143,192 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2021-06-25 | 3,247 | $0.00 | 3,247 | $24.35 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 5,963 | $0.00 | 5,963 | $27.72 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-28 | 1,545 | $0.00 | 1,545 | $24.35 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-28 | 11,667 | $0.00 | 11,667 | $27.17 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-08-11 | 10,821 | $0.00 | 10,821 | $27.72 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,961 | 2030-02-03 | No | 4 | M | Direct | |
| 66,869 | 2028-11-26 | No | 4 | M | Direct | |
| 30,416 | 2030-02-03 | No | 4 | M | Direct | |
| 14,500 | 2029-02-04 | No | 4 | M | Direct | |
| 56,048 | 2028-11-26 | 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 $95.00 to $90.37, 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 $95.00 to $96.00, 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 $96.10 to $96.53, 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 January 29, 2021 and 1/48th of the shares subject to the option vest monthly thereafter.
- 25% of the shares subject to the option vested on November 26, 2019 and 1/48th of the shares subject to the option vest monthly thereafter.
- 1/4th of the shares subject to the option vested on February 4, 2019 and 1/48th of the shares subject to the option vest monthly thereafter.
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