Filing Details
- Accession Number:
- 0001217234-21-000242
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-09 18:01:11
- Reporting Period:
- 2021-11-05
- Accepted Time:
- 2021-11-09 18:01:11
- 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 | Yes | No | 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 | 2021-11-05 | 925 | $6.31 | 342,681 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-11-05 | 3,125 | $12.24 | 345,806 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-11-05 | 5,950 | $24.35 | 351,756 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-05 | 10,000 | $49.40 | 341,756 | 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 | 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 | 2021-11-05 | 925 | $0.00 | 925 | $6.31 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-11-05 | 3,125 | $0.00 | 3,125 | $12.24 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-11-05 | 5,950 | $0.00 | 5,950 | $24.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,016 | 2028-01-19 | No | 4 | M | Direct | |
| 21,875 | 2028-06-29 | No | 4 | M | Direct | |
| 50,956 | 2030-02-03 | 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 transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- 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 vested on January 19, 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 June 1, 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 January 29, 2021 and 1/48th of the shares subject to the option vest monthly thereafter.
Billionaire Hedge Funds
