| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| |||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 09/07/2022 | 3. Issuer Name and Ticker or Trading Symbol CareDx, Inc. [ CDNA ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 66,231(1) | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Option (right to buy) | (2) | 08/09/2032 | Common Stock | 31,136 | 23.48 | D | |
| Employee Stock Option (right to buy) | (3) | 02/02/2032 | Common Stock | 34,900 | 41.32 | D | |
| Employee Stock Option (right to buy) | (4) | 10/07/2031 | Common Stock | 15,000 | 66.33 | D | |
| Explanation of Responses: |
| 1. Comprised of (i) 31,331 shares of common stock represented by restricted stock units ("RSUs"), 1/3rd of which shall vest on June 16, 2023 and 1/3rd of which shall vest on each anniversary thereafter, (ii) 19,900 shares of common stock represented by RSUs, 1/4th of which shall vest on February 2, 2023 and 1/4th of which shall vest on each anniversary thereafter, (iii) 5,000 shares of common stock represented by RSUs, all of which shall vest on October 6, 2022, and (iv) 10,000 shares of common stock represented by RSUs, 1/4th of which shall vest on October 6, 2022 and 1/4th of which shall vest on each anniversary thereafter. |
| 2. 1/4th of the shares subject to the option shall vest on June 16, 2023 and 1/48th of the shares subject to the option shall vest monthly thereafter. |
| 3. 1/4th of the shares subject to the option shall vest on February 2, 2023 and 1/48th of the shares subject to the option shall vest monthly thereafter. |
| 4. 1/4th of the shares subject to the option shall vest on October 6, 2022 and 1/48th of the shares subject to the option shall vest monthly thereafter. |
| Remarks: |
| Chief Administrative & Legal Officer and Secretary Exhibit 24 - Power of Attorney |
| /s/ Abraham Ronai | 09/16/2022 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
