| Accession Number: | 0001217234-21-000156 |
| Date: | 2021-06-24 |
| Issuer: | CAREDX, INC. (CDNA) |
| Original Submission Date: |
MAAG PETER
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 | 2021-06-24 | M | 314 | a | $6.31 | 372,258 | direct | ||
| COMMON STOCK | 2021-06-24 | M | 9,291 | a | $24.35 | 381,549 | direct | ||
| COMMON STOCK | 2021-06-24 | S | 9,605 | d | $95.30 | 371,944 | direct | ||
| COMMON STOCK | 2021-06-25 | M | 395 | a | $24.35 | 372,339 | direct | ||
| COMMON STOCK | 2021-06-25 | S | 395 | d | $95.00 | 371,944 | direct | ||
| COMMON STOCK | 2021-06-24 | 0 | $0.00 | 1,000 | indirect | f3 | |||
| COMMON STOCK | 2021-06-24 | 0 | $0.00 | 1,000 | indirect | f3 |
| 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 | 2021-06-24 | deemed execution date | M | 314 (d) | 2028-01-19 | common stock 314 | $6.31 | 11,718 | direct | ||
| EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 24.35 | 2021-06-24 | deemed execution date | M | 9,291 (d) | 2030-02-03 | common stock 9,291 | $24.35 | 62,742 | direct | ||
| EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 24.35 | 2021-06-25 | deemed execution date | M | 395 (d) | 2030-02-03 | common stock 395 | $24.35 | 62,347 | 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 $95.00 to $95.76, 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 | 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. |
| f4 | 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. |
| f5 | 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. |
