CareDx Inc

For the period ended Sep 30, 2024. Filed Nov 4, 2024.

About this filing

A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Sep 30, 2024 · Filed Nov 4, 2024

CDNA$84.42+7.5%Stored close · as of Nov 9, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

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Contents

Item 6. Exhibits

ExhibitNumber
3.1(1)	Amended and Restated Certificate of Incorporation.
3.2(2)	Certificate of Amendment to the Amended and Restated Certificate of Incorporation of CareDx, Inc., filed June 17, 2021.
3.3(3)	Certificate of Amendment to the Amended and Restated Certificate of Incorporation, dated June 16, 2023.
3.4(4)	Amended and Restated Bylaws, effective as of March 24, 2023
4.1(5)	Form of Registrant’s common stock certificate.
4.2(6)#	2014 Equity Incentive Plan, as amended.
4.3(7)#	Form of Option Agreement under the 2014 Equity Incentive Plan for New Options.
4.4(8)#	2014 Employee Stock Purchase Plan and forms of agreements thereunder.
4.5(9)#	2016 Inducement Equity Incentive Plan.
4.6(10)#	CareDx, Inc. 2019 Inducement Equity Incentive Plan.
4.7(11)#	CareDx, Inc. 2024 Equity Incentive Plan
10.1(12)#	Offer Letter, dated July 27, 2024, between CareDx, Inc. and Keith Kennedy.
10.2(13)#	Change of Control and Severance Agreement, dated July 27, 2024, between CareDx, Inc. and Keith Kennedy.
10.3(14)#	Confidential Information, Invention Assignment, Non-Competition, and Arbitration Agreement, dated July 27, 2024, between CareDx, Inc. and Keith Kennedy.
10.4(15)#	Inducement Restricted Stock Unit Agreement, effective as of September 12, 2024, by and between CareDx, Inc. and Keith Kennedy.
10.5(16)#	Inducement Stock Option Agreement, effective as of September 12, 2024, by and between CareDx, Inc. and Keith Kennedy.
10.6*#	Offer Letter, dated August 30, 2024, between CareDx, Inc. and Jessica Meng.
10.7*#	Change of Control and Severance Agreement, dated August 30, 2024, between CareDx, Inc. and Jessica Meng.
10.8*#	Confidential Information, Invention Assignment, Non-Competition, and Arbitration Agreement, dated August 30, 2024, by and between CareDx, Inc. and Jessica Meng.
10.9(17)#	Inducement Restricted Stock Unit Agreement, effective as of September 12, 2024, by and between CareDx, Inc. and Jessica Meng.
10.10(18)#	Inducement Stock Option Agreement, effective as of September 12, 2024, by and between CareDx, Inc. and Jessica Meng.
10.11*#	Separation Agreement Release of Claims, dated September 30, 2024, between CareDx, Inc. and Alexander Johnson.
10.12*#	Consulting Agreement, dated September 30, 2024, by and between CareDx, Inc. and Alexander Johnson.
31.1*	Certification of Periodic Report by Principal Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*	Certification of Periodic Report by Principal Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002.
32.1**	Certification of Principal Executive Officer and Principal Financial Officer Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS*	XBRL Instance Document
101.SCH*	XBRL Taxonomy Extension Schema Document
101.CAL*	XBRL Taxonomy Extension Calculation Linkbase Document

101.DEF*	XBRL Taxonomy Extension Definition Linkbase Document
101.LAB*	XBRL Taxonomy Extension Label Linkbase Document
101.PRE*	XBRL Taxonomy Extension Presentation Linkbase Document
104	Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101)
(1)	Incorporated by reference to Exhibit 3.1 to the Registrant’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on August 28, 2014.
(2)	Incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filed with the SEC on June 21, 2021.
(3)	Incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filed with the SEC on June 20, 2023.
(4)	Incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filed with the SEC on March 28, 2023.
(5)	Incorporated by reference to Exhibit 4.1 to the Registrant’s Form 10-K filed with the SEC on March 31, 2015.
(6)	Incorporated by reference to Exhibit 4.2 to the Registrant’s Form 10-Q filed with the SEC on July 29, 2021.
(7)	Incorporated by reference to Exhibit 99(d)(3) to the Registrant’s Form SC TO-I filed with the SEC on October 12, 2017.
(8)	Incorporated by reference to Exhibit 4.5 to the Registrant’s Form S-8 filed with the SEC on July 18, 2014.
(9)	Incorporated by reference to Exhibit 4.5 to the Registrant’s Form 10-Q filed with the SEC on July 29, 2021.
(10)	Incorporated by reference to Exhibit 4.7 to the Registrant’s Form 10-Q filed with the SEC on July 29, 2021.
(11)	Incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K filed with the SEC on June 18, 2024.
(12)	Incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K filed with the SEC on September 12, 2024.
(13)	Incorporated by reference to Exhibit 10.2 to the Registrant’s Form 8-K filed with the SEC on September 12, 2024.
(14)	Incorporated by reference to Exhibit 10.3 to the Registrant’s Form 8-K filed with the SEC on September 12, 2024.
(15)	Incorporated by reference to Exhibit 99.1 to the Registrant’s Form S-8 filed with the SEC on September 13, 2024.
(16)	Incorporated by reference to Exhibit 99.3 to the Registrant’s Form S-8 filed with the SEC on September 13, 2024.
(17)	Incorporated by reference to Exhibit 99.2 to the Registrant’s Form S-8 filed with the SEC on September 13, 2024.
(18)	Incorporated by reference to Exhibit 99.4 to the Registrant’s Form S-8 filed with the SEC on September 13, 2024.
#	Indicates management contract or compensatory plan or arrangement.
*	Filed herewith.
**	Furnished herewith.

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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.