0001217234-21-000087.txt : 20210504 0001217234-21-000087.hdr.sgml : 20210504 20210504185520 ACCESSION NUMBER: 0001217234-21-000087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210503 FILED AS OF DATE: 20210504 DATE AS OF CHANGE: 20210504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maag Peter CENTRAL INDEX KEY: 0001613855 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36536 FILM NUMBER: 21890437 MAIL ADDRESS: STREET 1: CAREDX, INC. STREET 2: 3260 BAYSHORE BOULEVARD CITY: BRISBANE STATE: CA ZIP: 94005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CareDx, Inc. CENTRAL INDEX KEY: 0001217234 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 943316839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 TOWER PLACE STREET 2: 9TH FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 415-287-2300 MAIL ADDRESS: STREET 1: 1 TOWER PLACE STREET 2: 9TH FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: XDx, Inc. DATE OF NAME CHANGE: 20071010 FORMER COMPANY: FORMER CONFORMED NAME: EXPRESSION DIAGNOSTICS INC DATE OF NAME CHANGE: 20030203 4 1 wf-form4_162016890334863.xml FORM 4 X0306 4 2021-05-03 0 0001217234 CareDx, Inc. CDNA 0001613855 Maag Peter C/O CAREDX, INC. 1 TOWER PLACE, 9TH FLOOR SOUTH SAN FRANCISCO CA 94080 1 1 0 0 Executive Chair Common Stock 2021-05-03 4 M 0 7375 12.24 A 420343 D Common Stock 2021-05-03 4 M 0 7711 27.17 A 428054 D Common Stock 2021-05-03 4 S 0 16952 76.4959 D 411102 D Common Stock 2021-05-03 4 S 0 3048 77.4161 D 408054 D Common Stock 1000 I As UTMA custodian for minor child Common Stock 1000 I As UTMA custodian for minor child Employee Stock Option (right to buy) 12.24 2021-05-03 4 M 0 7375 0 D 2028-06-29 Common Stock 7375.0 142625 D Employee Stock Option (right to buy) 27.17 2021-05-03 4 M 0 7711 0 D 2029-02-04 Common Stock 7711.0 88289 D The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 11, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.005 to $77.00, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.02 to $77.83, 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. 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 June 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter. 1/4th of the shares subject to the option vested on January 25, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter. /s/ Peter Maag 2021-05-04