Form Type: 4/A

SEC EDGAR Link
Accession Number:0001217234-20-000071
Date:2020-06-01
Issuer: CAREDX, INC. (CDNA)
Original Submission Date:2020-06-01

Reporting Person:

KING SASHA
C/O CAREDX, INC.
1 TOWER PLACE, 9TH FLOOR SOUTH SAN FRANCISCO, CA 94080

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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