Form 4 for CDNA CareDx, Inc.
Accepted 2023-02-03 00:00:00 ET · period of report 2023-02-01 · accession 0001217234-23-000028 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-02-03 | 2023-02-02 | CDNA | Seeto Reginald | See Remarks, Dir | S - Sale | $17.15 | -2,819 | 575.8K | -0.5% | -$48.3K |
| DM | 2023-02-03 | 2023-02-01+ | CDNA | Seeto Reginald | See Remarks, Dir | F - Tax | $17.01 | -12.0K | 566.1K | -2% | -$204.7K |
| DM | 2023-02-03 | 2023-02-01 | CDNA | Seeto Reginald | See Remarks, Dir | A - Grant | $0.00 | +313.8K | 569.2K | +123% | $0 |
| D | 2023-02-03 | 2023-02-01 | CDNA | Seeto Reginald | See Remarks, Dir | A - Grant | $0.00 | +156.0K | 156.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-02 | S | D | 2,316 | $17.07 | 576,306 | D | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.40 to $17.34, 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. |
| 2 | Common | Common Stock | 2023-02-01 | F | D | 2,330 | $15.66 | 578,622 | D | — | — | (F4) These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon the vesting of restricted stock units. |
| 3 | Common | Common Stock | 2023-02-01 | A | A | 11,800 | $0.00 | 580,952 | D | — | — | (F3) The reported securities were subject to a performance restricted stock unit award that was initially granted on February 3, 2021 for a two-year performance period over calendar years 2021 and 2022, which performance was assessed and finalized effective February 1, 2023. 50.00% of the reported securities vested on February 1, 2023 and 50% of the reported securities will vest on December 31, 2023, subject to the Reporting Person's continued service with the Issuer. |
| 4 | Common | Common Stock | 2023-02-01 | A | A | 302,000 | $0.00 | 569,152 | D | — | — | (F1) The reported securities are represented by restricted stock units, 1/4th of which shall vest on February 1, 2024 and 1/4th of which shall vest on each anniversary thereafter. (F2) Includes 177 shares acquired on January 2, 2023 pursuant to the Issuer's 2014 Employee Stock Purchase Plan. |
| 5 | Common | Common Stock | 2023-02-03 | F | D | 1,228 | $16.54 | 567,331 | D | — | — | (F4) These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon the vesting of restricted stock units. |
| 6 | Common | Common Stock | 2023-02-02 | F | D | 7,244 | $17.61 | 568,559 | D | — | — | (F4) These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon the vesting of restricted stock units. |
| 7 | Common | Common Stock | 2023-02-02 | S | D | 503 | $17.50 | 575,803 | D | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.44 to $17.61, 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. |
| 8 | Common | Common Stock | 2023-02-03 | F | D | 1,228 | $16.54 | 566,103 | D | — | — | (F4) These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon the vesting of restricted stock units. |
| 9 | Derivative | Stock Option (right to buy) | 2023-02-01 | A | A | 156,000 | $0.00 | 156,000 | D | $15.66 · — to 2033-02-01 | 156,000 Common Stock | (F8) 1/4th of the shares subject to the option shall vest on February 2, 2024 and 1/48th of the shares subject to the option shall vest monthly thereafter. |