Form Type: 4

SEC EDGAR Link
Accession Number:0001217234-21-000055
Date:2021-03-05
Issuer: CAREDX, INC. (CDNA)
Original Submission Date:

Reporting Person:

MAAG PETER
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 2021-03-05 S 1,200 d $57.60 431,768 direct
COMMON STOCK 2021-03-05 S 800 d $58.71 430,968 direct
COMMON STOCK 2021-03-05 S 1,644 d $60.03 429,324 direct
COMMON STOCK 2021-03-05 S 1,856 d $61.07 427,468 direct
COMMON STOCK 2021-03-05 S 1,800 d $62.13 425,668 direct
COMMON STOCK 2021-03-05 S 1,300 d $63.25 424,368 direct
COMMON STOCK 2021-03-05 S 900 d $64.15 423,468 direct
COMMON STOCK 2021-03-05 S 200 d $65.18 423,268 direct
COMMON STOCK 2021-03-05 S 300 d $66.34 422,968 direct
COMMON STOCK 0 $0.00 1,000 indirect f12
COMMON STOCK 0 $0.00 1,000 indirect f12
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
Footnotes
IDfootnote
f1 the transaction reported in this form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on may 5, 2020.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $57.14 to $57.99, 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 these shares remain subject to a lock-up agreement entered into among the reporting person and the representatives of the underwriters for the issuer's public offering of common stock completed in january 2021.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $58.25 to $59.17, 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.
f5 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $59.47 to $60.45, 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.
f6 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $60.61 to $61.59, 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.
f7 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $61.67 to $62.57, 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.
f8 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $62.72 to $63.60, 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.
f9 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $63.75 to $64.53, 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.
f10 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $65.05 to $65.31, 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.
f11 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $66.11 to $66.46, 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.
f12 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.

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