Accession Number: | 0001217234-20-000071 |
Date: | 2020-06-01 |
Issuer: | CAREDX, INC. (CDNA) |
Original Submission Date: | 2020-06-01 |
KING SASHA
C/O CAREDX, INC.
1 TOWER PLACE, 9TH FLOOR
SOUTH SAN FRANCISCO, CA 94080
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2020-06-01 | M | 2,917 | a | $6.31 | 56,653 | direct | ||
COMMON STOCK | 2020-06-01 | M | 1,750 | a | $1.00 | 58,403 | direct | ||
COMMON STOCK | 2020-06-01 | M | 8,333 | a | $12.24 | 66,736 | direct | ||
COMMON STOCK | 2020-06-01 | M | 1,458 | a | $1.07 | 68,194 | direct | ||
COMMON STOCK | 2020-06-01 | M | 4,000 | a | $27.17 | 72,194 | direct | ||
COMMON STOCK | 2020-06-01 | M | 1,111 | a | $2.80 | 73,305 | direct | ||
COMMON STOCK | 2020-06-01 | M | 5,833 | a | $5.90 | 79,138 | direct | ||
COMMON STOCK | 2020-06-01 | S | 25,402 | d | $33.10 | 53,736 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 6.31 | 2020-06-01 | deemed execution date | M | 2,917 (d) | 2028-01-19 | common stock 2,917 | $6.31 | 10,000 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 1.0 | 2020-06-01 | deemed execution date | M | 1,750 (d) | 2027-04-21 | common stock 1,750 | $1.00 | 3,500 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 12.24 | 2020-06-01 | deemed execution date | M | 8,333 (d) | 2028-06-29 | common stock 8,333 | $12.24 | 29,167 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 1.07 | 2020-06-01 | deemed execution date | M | 1,458 (d) | 2027-06-09 | common stock 1,458 | $1.07 | 3,542 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 27.17 | 2020-06-01 | deemed execution date | M | 4,000 (d) | 2029-02-04 | common stock 4,000 | $27.17 | 12,000 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 2.8 | 2020-06-01 | deemed execution date | M | 1,111 (d) | 2027-09-01 | common stock 1,111 | $2.80 | 2,639 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 5.9 | 2020-06-01 | deemed execution date | M | 5,833 (d) | 2027-10-27 | common stock 5,833 | $5.90 | 17,500 | direct |
ID | footnote |
---|---|
f1 | the transactions reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person. |
f2 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $33.00 to $33.26, 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. |
f3 | 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. |
f4 | 25% of the shares subject to the option vested on march 30, 2018 and 1/48th of the shares subject to the option vest monthly thereafter. |
f5 | 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. |
f6 | 25% of the shares subject to the option vested on june 9, 2018 and 1/48th of the shares subject to the option vest monthly thereafter. |
f7 | 1/4th of the shares subject to the option vested on february 4, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter. |
f8 | 50% of the shares subject to the option vested on september 1, 2018 and 1/48th of the shares subject to the option vest monthly thereafter. |
f9 | 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. |