Delaware | 94-3316839 | |||||||
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
Large accelerated filer | | Accelerated filer | | |||||||||||||||||
Non-accelerated filer | | Smaller reporting company | | |||||||||||||||||
Emerging growth company | |
Title of Securities to be Registered | Amount to be Registered(1) | Proposed Maximum Offering Price Per Share | Proposed Maximum Aggregate Offering Price | Amount of Registration Fee | |||||||||||||||||||||||||
Common Stock, $0.001 par value per share, reserved for issuance pursuant to the 2014 Equity Incentive Plan, as amended | 1,699,937(2) | $31.31(3) | $53,225,027.47(3) | $6,908.61 | |||||||||||||||||||||||||
Common Stock, $0.001 par value per share, reserved for issuance pursuant to the 2014 Employee Stock Purchase Plan | 133,900(4) | $26.61(5) | $3,563,079.00(5) | $462.49 | |||||||||||||||||||||||||
TOTAL: | 1,833,837 | — | $56,788,106.47 | $7,371.10 | |||||||||||||||||||||||||
(1) | Pursuant to Rule 416(a) of the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement on Form S-8 (the “Registration Statement”) shall also cover any additional shares of common stock, $0.001 par value per share (the “Common Stock”), of the Registrant (defined below) that become issuable under the CareDx, Inc. 2014 Equity Incentive Plan, as amended (the “2014 Plan”), and the CareDx, Inc. 2014 Employee Stock Purchase Plan (the “2014 ESPP”) by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration that increases the number of the Registrant’s outstanding shares of Common Stock. | ||||||||||||||||||||||||||||
(2) | Represents shares of Common Stock that were automatically added to the shares reserved for issuance under the 2014 Plan on January 1, 2020 pursuant to an “evergreen” provision contained in the 2014 Plan. The 2014 Plan provides that an additional number of shares will automatically be added annually to the shares authorized under the 2014 Plan on January 1st of each calendar year. The number of shares of Common Stock added each year will be equal to the least of: (a) four percent (4.0%) of the total number of shares of Common Stock outstanding on the last day of the immediately preceding fiscal year; or (b) such number of shares of Common Stock that may be determined each year by the Registrant’s board of directors provided that such determination is made no later than the last day of the immediately preceding fiscal year. | ||||||||||||||||||||||||||||
(3) | Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rules 457(c) and 457(h) of the Securities Act. The proposed maximum aggregate offering price per share and the proposed maximum aggregate offering price with respect to these shares are calculated based on the average of the high and low prices of the Common Stock as reported on the Nasdaq Global Market on June 12, 2020, a date within five business days prior to the filing of this Registration Statement. | ||||||||||||||||||||||||||||
(4) | Represents shares of Common Stock that were automatically added to the shares reserved for issuance under the 2014 ESPP on January 1, 2020 pursuant to an “evergreen” provision contained in the 2014 ESPP. The 2014 ESPP provides that an additional number of shares will automatically be added annually to the shares authorized for issuance under the 2014 Plan on January 1 of each calendar year. The number of shares of Common Stock added each year will be equal to the least of: (a) 133,900 shares of Common Stock (subject to adjustment for stock splits, dividends, recapitalizations and the like); (b) one and one-half percent (1 1⁄2%) of the total number of shares of Common Stock outstanding on the last day of the immediately preceding fiscal year; or (c) such number of shares of Common Stock that may be determined each year by the Registrant’s board of directors. | ||||||||||||||||||||||||||||
(5) | Estimated solely for the purposes of calculating the registration fee pursuant to Rules 457(c) and 457(h) of the Securities Act. The proposed maximum aggregate offering price per share and the proposed maximum aggregate offering price with respect to these shares are calculated based on 85% of the average of the high and low prices of the Common Stock as reported on the Nasdaq Global Market on June 12, 2020, a date within five business days prior to the filing of this Registration Statement. Pursuant to the 2014 ESPP, the purchase price of the shares of Common Stock reserved for issuance thereunder will be 85% of the lower of the fair market value of the Common Stock on (a) the first trading day of the offering period, or (b) the exercise date. |
(a) | The Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2019, filed with the SEC on February 28, 2020; | |||||||
(b) | ||||||||
(c) | The Registrant’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2020, filed with the SEC on April 30, 2020; |
(d) | The Registrant’s Current Report on Form 8-K filed with the SEC on April 8, 2020, June 9, 2020 and June 11, 2020; | |||||||
(e) | The Registrant’s Current Report on Form 8-K/A filed with the SEC on June 10, 2020; and |
(f) | The description of the Common Stock set forth in the Registrant’s Registration Statement on Form 8-A (File No. 001-36536), filed with the SEC on July 11, 2014, including any amendments or reports filed for the purpose of updating such description. |
Exhibit Number | Description | |||||||
3.1 | ||||||||
3.2 | ||||||||
3.3 | ||||||||
4.1 | ||||||||
4.2 | ||||||||
4.3 | ||||||||
5.1 | ||||||||
23.1 | ||||||||
23.2 | ||||||||
23.3 | ||||||||
24.1 |
CAREDX, INC. | |||||||||||
By: | /s/ Peter Maag | ||||||||||
Peter Maag Chairman and Chief Executive Officer |
Signature | Title | Date | ||||||||||||
/s/ Peter Maag | Chairman and Chief Executive Officer | June 18, 2020 | ||||||||||||
Peter Maag | (Principal Executive Officer) | |||||||||||||
/s/ Michael Bell | Chief Financial Officer | June 18, 2020 | ||||||||||||
Michael Bell | (Principal Financial and Accounting Officer) | |||||||||||||
/s/ George W. Bickerstaff, III | Director | June 18, 2020 | ||||||||||||
George W. Bickerstaff, III | ||||||||||||||
/s Fred E. Cohen | Director | June 18, 2020 | ||||||||||||
Fred E. Cohen | ||||||||||||||
/s/ Grace Colón | Director | June 18, 2020 | ||||||||||||
Grace Colón | ||||||||||||||
/s/ Christine M. Cournoyer | Director | June 18, 2020 | ||||||||||||
Christine M. Cournoyer | ||||||||||||||
/s/ Michael Goldberg | Director | June 18, 2020 | ||||||||||||
Michael Goldberg | ||||||||||||||
/s/ William Hagstrom | Director | June 18, 2020 | ||||||||||||
William Hagstrom | ||||||||||||||
/s/ Ralph Snyderman | Director | June 18, 2020 | ||||||||||||
Ralph Snyderman |
June 18, 2020 | 94656.00001 |
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