Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | Chief Operating Officer | January 16, 2018 | January 18, 2018 |
| CareDx, Inc.CDNA · Entity 4344 | Director · See Remarks | October 02, 2023 | October 02, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ARDELYX, INC.
Report date January 16, 2018 · Filed January 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.10 · Expires 2028-01-16 | Direct | 146,381 |
Reported balance
After 2018-01-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-16 · Grant · Acquired 146,381 · Balance 146,381 F1: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 16, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 16, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
CareDx, Inc.
Report date October 02, 2023 · Filed October 02, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 479,164 |
Reported balance
After 2023-10-02 transaction · row 1
1 source rowRow 1 · 2023-10-02 · Sale · Disposed 2,818 · Balance 479,164 F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 2, 2022. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.83 to $6.99, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 2, 2022.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.83 to $6.99, 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 06, 2020 Filed Aug 7, 2020 19:39 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 413 | $34.65 | $14,310.45 |
DisclosureSEC source: 0001217234-20-000156 · wf-form4_159684345283899.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,849 F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of vested restricted stock units. F2 · balance_after: 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 June 2020. Read SEC document |
| July 06, 2020 Filed Jul 7, 2020 21:40 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $34.49 | $0.00 |
DisclosureSEC source: 0001217234-20-000137 · wf-form4_159417239691867.xml · derivative · entry 2 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-07-06 F3 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on July 6, 2021 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| July 06, 2020 Filed Jul 7, 2020 21:40 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001217234-20-000137 · wf-form4_159417239691867.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,262 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on July 6, 2021 and 1/4th of which shall vest on each anniversary thereafter. F2 · balance_after: Includes 695 shares acquired by the Reporting Person pursuant to Issuer's 2014 Employee Stock Purchase Plan. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 16:59 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 5,296 | $22.44 | $118,842.24 |
DisclosureSEC source: 0001217234-20-000039 · wf-form4_158318637717980.xml · nonDerivative · entry 2 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,567 F2 · shares: 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. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 16:59 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 16,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001217234-20-000039 · wf-form4_158318637717980.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,863 F1 · shares: The reported securities were represented by restricted performance stock units that were granted on February 4, 2019, 100% of which vested on February 27, 2020 upon the achievement of the requisite performance criteria. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 16:48 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $24.35 | $0.00 |
DisclosureSEC source: 0001217234-20-000017 · wf-form4_158093929067350.xml · derivative · entry 2 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-02-03 F2 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on January 29, 2021 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 16:48 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001217234-20-000017 · wf-form4_158093929067350.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,863 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on January 29, 2021 and 1/4th of which shall vest on each anniversary thereafter. Read SEC document |
| November 26, 2019 Filed Nov 27, 2019 20:32 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 4,137 | $20.34 | $84,146.58 |
DisclosureSEC source: 0001688485-19-000002 · wf-form4_157490474476819.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,863 F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of vested restricted stock units. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 16:11 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021360 · doc4.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on August 6, 2020 and 1/4th of which shall vest on each anniversary thereafter. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:58 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 32,000 | $0.00 Strike: $27.17 | $0.00 |
DisclosureSEC source: 0000899243-19-002749 · doc4.xml · derivative · entry 1 Seeto Reginald · CIK 0001688485 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires 2029-02-04 F1 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on February 4, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| November 26, 2018 Filed Nov 27, 2018 20:36 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $27.72 | $0.00 |
DisclosureSEC source: 0000899243-18-029712 · doc4.xml · derivative · entry 2 Seeto Reginald · CIK 0001688485 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-11-26 F2 · derivative.exercise_date: 25% of the shares subject to the option shall vest on November 26, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| November 26, 2018 Filed Nov 27, 2018 20:36 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-029712 · doc4.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on November 26, 2019 and 1/4th of which shall vest on each anniversary thereafter. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 19:49 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 146,381 | $0.00 Strike: $7.10 | $0.00 |
DisclosureSEC source: 0001140361-18-002461 · doc1.xml · derivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,381 Underlying: Common Stock · 146,381 shares Expires 2028-01-16 F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 16, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| October 24, 2017 Filed Oct 26, 2017 19:20 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 10,008 | $5.20 | $52,042.60 |
DisclosureSEC source: 0001140361-17-039719 · doc1.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,885 F1 · kind: Pursuant to a sell-to-cover election made by the Reporting Person at the time of the initial grant of the restricted stock units ("RSU") award, the shares were sold upon the vesting of restricted stock units solely to cover applicable withholding taxes. F2 · price: This transaction was executed in multiple trades in prices ranging from $5.20 to $5.225, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F3 · balance_after: Includes 1,760 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2017. Read SEC document |
| August 09, 2017 Filed Aug 11, 2017 17:07 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 26,512 | $0.00 Strike: $4.70 | $0.00 |
DisclosureSEC source: 0001140361-17-031446 · doc1.xml · derivative · entry 2 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,512 Underlying: Common Stock · 26,512 shares Expires 2027-08-09 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest with respect to 2/3 of the shares subject thereto on December 31, 2018 and 1/3 of the shares subject thereto on June 1, 2019, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| August 07, 2017 Filed Aug 11, 2017 17:07 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 26,512 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-031446 · doc1.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,133 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 26, 2017 Filed Jan 27, 2017 20:32 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 26,511 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-003303 · doc1.xml · derivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,511 Underlying: Common Stock · 26,511 shares Expires 2027-01-26 F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 23, 2017 20:54 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002607 · doc1.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,621 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| October 22, 2016 Filed Oct 26, 2016 19:10 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 168,918 | $0.00 Strike: $13.20 | $0.00 |
DisclosureSEC source: 0001140361-16-083682 · doc1.xml · derivative · entry 2 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,918 Underlying: Common Stock · 168,918 shares Expires 2026-10-22 F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from October 22, 2016, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| October 22, 2016 Filed Oct 26, 2016 19:10 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 113,636 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-083682 · doc1.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,636 F1 · shares: Restricted Stock Units ("RSUs"). The reporting person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.