Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CareDx, Inc.CDNA · Entity 4344 | Chief Medical Officer | July 01, 2019 | July 01, 2019 |
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.
CareDx, Inc.
Report date July 01, 2019 · Filed July 01, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 42,045 |
Ending reported balance
After 2019-07-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-07-01 · Exercise / conversion · Acquired 19,875 · Balance 62,045 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Row 2 · 2019-07-01 · Sale · Disposed 20,000 · Balance 42,045 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 $35.25 to $36.56, 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. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.30 · Expires 2027-02-17 | Direct | 7,125 |
Reported balance
After 2019-07-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-07-01 · Exercise / conversion · Disposed 19,875 · Balance 7,125 F3: 1/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter. |
Filing footnotes · ownership attribution and instrument terms
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 $35.25 to $36.56, 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: 1/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.
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 |
|---|---|---|---|---|---|---|
| July 01, 2019 Filed Jul 1, 2019 21:24 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 19,875 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0000899243-19-018754 · doc4.xml · derivative · entry 3 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,125 Underlying: Common Stock · 19,875 shares Expires 2027-02-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 1/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 21:24 UTC | CareDx, Inc. CDNA · Entity 4344 | SaleCommon Stock | 20,000 | $35.65 | $712,936.00 |
DisclosureSEC source: 0000899243-19-018754 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,045 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.25 to $36.56, 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. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 21:24 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionCommon Stock | 19,875 | $2.30 | $45,712.50 |
DisclosureSEC source: 0000899243-19-018754 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,045 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| June 17, 2019 Filed Jun 18, 2019 19:02 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.49 | $0.00 |
DisclosureSEC source: 0000899243-19-017341 · doc4.xml · derivative · entry 3 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 20,000 shares Expires 2025-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 1/4th of the shares subject to the option vested on January 21, 2016 and 1/48th of the shares subject to the option vested monthly thereafter. Read SEC document |
| June 17, 2019 Filed Jun 18, 2019 19:02 UTC | CareDx, Inc. CDNA · Entity 4344 | SaleCommon Stock | 20,000 | $37.54 | $750,876.00 |
DisclosureSEC source: 0000899243-19-017341 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,170 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.90 to $37.93, 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. Read SEC document |
| June 17, 2019 Filed Jun 18, 2019 19:02 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionCommon Stock | 20,000 | $6.49 | $129,800.00 |
DisclosureSEC source: 0000899243-19-017341 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,170 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 21:42 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 1,239 | $32.80 | $40,639.20 |
DisclosureSEC source: 0000899243-19-015530 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,170 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 |
| March 12, 2019 Filed Mar 12, 2019 21:09 UTC | CareDx, Inc. CDNA · Entity 4344 | SaleCommon Stock | 7,598 | $35.18 | $267,282.44 |
DisclosureSEC source: 0000899243-19-007399 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,409 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.51 to $35.56, 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 sold at each separate price. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:56 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 3,685 | $31.64 | $116,593.40 |
DisclosureSEC source: 0000899243-19-006264 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,007 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 |
| March 01, 2019 Filed Mar 5, 2019 18:56 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-006264 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,692 F1 · shares: The reported securities were represented by restricted performance stock units that were granted on October 20, 2017, 100% of which vested on March 1, 2019 upon the achievement of the requisite performance criteria. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:38 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionOption to Purchase Common Stock · Derivative | 3,649 | $0.00 Strike: $3.97 | $0.00 |
DisclosureSEC source: 0000899243-19-003537 · doc4.xml · derivative · entry 5 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,649 shares Expires 2020-08-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Immediately. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:38 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionOption to Purchase Common Stock · Derivative | 3,649 | $0.00 Strike: $3.70 | $0.00 |
DisclosureSEC source: 0000899243-19-003537 · doc4.xml · derivative · entry 4 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,649 shares Expires 2020-04-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Immediately. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:38 UTC | CareDx, Inc. CDNA · Entity 4344 | SaleCommon Stock | 32,500 | $23.88 | $776,100.00 |
DisclosureSEC source: 0000899243-19-003537 · doc4.xml · nonDerivative · entry 3 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,692 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.68 to $24.24, 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. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:38 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionCommon Stock | 3,649 | $3.97 | $14,497.48 |
DisclosureSEC source: 0000899243-19-003537 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,192 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2018. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:38 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionCommon Stock | 3,649 | $3.70 | $13,497.65 |
DisclosureSEC source: 0000899243-19-003537 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,543 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2018. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:56 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $27.17 | $0.00 |
DisclosureSEC source: 0000899243-19-002747 · doc4.xml · derivative · entry 4 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2029-02-04 F4 · 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 |
| February 04, 2019 Filed Feb 5, 2019 21:56 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 2,766 | $27.17 | $75,152.22 |
DisclosureSEC source: 0000899243-19-002747 · doc4.xml · nonDerivative · entry 3 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,894 F3 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon the immediate vesting of restricted stock units. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:56 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002747 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,660 F2 · shares: The reported securities are represented by restricted stock units, 100% of which were vested upon grant. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:56 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002747 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,660 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on February 4, 2019 and 1/4th of which shall vest on each anniversary thereafter. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 20:47 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 845 | $27.46 | $23,203.70 |
DisclosureSEC source: 0000899243-19-002147 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,660 F1 · kind: 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 |
| January 22, 2019 Filed Jan 23, 2019 21:42 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 2,139 | $25.05 | $53,581.95 |
DisclosureSEC source: 0000899243-19-001827 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,505 F1 · kind: 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 |
| June 29, 2018 Filed Jul 3, 2018 17:42 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-18-019285 · doc4.xml · derivative · entry 3 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-29 F3 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on June 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 17:42 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019285 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,102 F2 · shares: The reported securities are represented by restricted stock units, 100% of which were vested upon grant. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 17:42 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019285 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,102 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on June 1, 2019 and 1/4th of which shall vest on each anniversary thereafter. Read SEC document |
| June 29, 2018 Filed Jul 12, 2018 19:22 UTC Amendment | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 3,458 | $12.24 | $42,325.92 |
DisclosureSEC source: 0000899243-18-019828 · doc4a.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,644 F1 · kind: This amendment is being filed solely to report the withholding of shares by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of vested restricted stock units. Read SEC document |
| January 29, 2018 Filed Jan 30, 2018 17:02 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 805 | $6.25 | $5,031.25 |
DisclosureSEC source: 0000899243-18-002275 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,102 F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations upon the vesting of certain restricted stock units. Read SEC document |
| January 22, 2018 Filed Jan 23, 2018 18:52 UTC | CareDx, Inc. CDNA · Entity 4344 | Tax withholdingCommon Stock | 1,691 | $6.29 | $10,636.39 |
DisclosureSEC source: 0000899243-18-001707 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,907 F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations upon the vesting of certain restricted stock units. Read SEC document |
| January 19, 2018 Filed Jan 25, 2018 19:40 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.31 | $0.00 |
DisclosureSEC source: 0000899243-18-002022 · doc4.xml · derivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-01-19 F1 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on January 19, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| December 08, 2017 Filed Dec 8, 2017 19:59 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 29,197 | $0.00 Strike: $3.36 | $0.00 |
DisclosureSEC source: 0000899243-17-028300 · doc4.xml · derivative · entry 3 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,197 shares Expires 2018-01-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The shares subject to the option vested monthly over a four year period commencing January 1, 2008 and became fully vested on January 1, 2012. Read SEC document |
| December 08, 2017 Filed Dec 8, 2017 19:59 UTC | CareDx, Inc. CDNA · Entity 4344 | SaleCommon Stock | 29,197 | $7.00 | $204,379.00 |
DisclosureSEC source: 0000899243-17-028300 · doc4.xml · nonDerivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,598 Read SEC document |
| December 08, 2017 Filed Dec 8, 2017 19:59 UTC | CareDx, Inc. CDNA · Entity 4344 | Exercise / conversionCommon Stock | 29,197 | $3.36 | $97,999.73 |
DisclosureSEC source: 0000899243-17-028300 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,795 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 16:15 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantOption to Purchase Common Stock · Derivative | 13,359 | Not disclosed Strike: $5.49 | Not disclosed |
DisclosureSEC source: 0000899243-17-026023 · doc4.xml · derivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,359 Underlying: Common Stock · 13,359 shares Expires 2024-11-09 F3 · security: Represents a stock option granted pursuant to the Exchange Offer (the "New Options"). F4 · derivative.exercise_price: The exercise price per share equals the closing price per share of the Company's common stock, as quoted by NASDAQ, on November 9, 2017. F2 · price: On November 8, 2017, pursuant to the offer by CareDx, Inc. (the "Company") to exchange certain outstanding stock options for new options as more fully described in the Schedule TO-I, filed with the Securities Exchange Commission on October 12, 2017, as amended and supplemented on October 24, 2017 and November 9, 2017(the "Exchange Offer"), the Company cancelled a stock option for 21,897 shares granted to the reporting person on April 8, 2014. In exchange for such cancelled stock option, the reporting person received a stock option for 13,359 shares. F5 · derivative.exercise_date: The New Options are scheduled to vest in three equal installments based upon the Company's achievement of certain performance goals as follows: (i) one third of the New Options vest upon the Company's determination, which has been reviewed by the Company's independent registered public accounting firm, that the Company has achieved $10 million of total cumulative sales of Allosure, its proprietary next-generation sequencing-based test to detect donor-derived, cell-free DNA after transplantation, commencing after the completion of the Exchange Offer, (ii) one third of the New Options vest upon the Company's determination, which has been reviewed by the Company's independent registered public accounting firm, that the Company has achieved quarterly revenues of at least $18.75 million for two consecutive fiscal quarters commencing after the completion of the Exchange Offer, F6 · derivative.exercise_date: (Continued from Footnote 5) and (iii) one third of the New Options vest in the event the closing sales price of the Company's common stock is at or above $5.00 per share, as quoted by NASDAQ, for 10 consecutive trading days after the completion of the Exchange Offer. Read SEC document |
| November 08, 2017 Filed Nov 13, 2017 16:15 UTC | CareDx, Inc. CDNA · Entity 4344 | Disposition to issuerOption to Purchase Common Stock · Derivative | 21,897 | Not disclosed Strike: $12.40 | Not disclosed |
DisclosureSEC source: 0000899243-17-026023 · doc4.xml · derivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,897 shares Expires 2024-04-08 F2 · price: On November 8, 2017, pursuant to the offer by CareDx, Inc. (the "Company") to exchange certain outstanding stock options for new options as more fully described in the Schedule TO-I, filed with the Securities Exchange Commission on October 12, 2017, as amended and supplemented on October 24, 2017 and November 9, 2017(the "Exchange Offer"), the Company cancelled a stock option for 21,897 shares granted to the reporting person on April 8, 2014. In exchange for such cancelled stock option, the reporting person received a stock option for 13,359 shares. F1 · derivative.exercise_date: 19,616 of the shares underlying the cancelled option were vested and immediately exercisable. The remaining shares underlying the cancelled option were scheduled to vest monthly in increments of 1/48th of the shares subject to the options. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 18:28 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $2.80 | $0.00 |
DisclosureSEC source: 0000899243-17-021469 · doc4.xml · derivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-09-01 F1 · derivative.exercise_date: 50% of the shares subject to the option shall vest on September 1, 2018 and 1/72nd of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 18:37 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 27,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0000899243-17-005006 · doc4.xml · derivative · entry 2 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common Stock · 27,000 shares Expires 2027-02-17 F2 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on January 27, 2018 and 1/48th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 18:37 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-005006 · doc4.xml · nonDerivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,598 F1 · shares: The reported securities are represented by restricted stock units 1/4th of which shall vest on January 27, 2018 and 1/4th of which shall vest on each yearly anniversary thereafter. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 17:27 UTC | CareDx, Inc. CDNA · Entity 4344 | GrantEmployee Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0000899243-16-032525 · doc4.xml · derivative · entry 1 Yee James P · CIK 0001421336 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2026-10-28 F1 · derivative.exercise_date: 1/2 of the shares subject to the option shall vest on September 29, 2017 and 1/36th of the remaining shares subject to the option shall vest monthly thereafter. 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.