Amended Statement of Ownership (sc 13g/a)
February 14 2018 - 5:49PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE
13G/A
(Rule
13d-102)
(Amendment No. 1)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES
13d-1(b),
(c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE
13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
CareDx, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
14167L103
(CUSIP Number)
December 31, 2017
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
☒ Rule
13d-1(b)
☐ Rule
13d-1(c)
☐ Rule
13d-1(d)
|
|
|
|
|
CUSIP No. 14167L103
|
|
13G/A
|
|
Page 2 of 7
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
Highland Long/Short Healthcare Fund
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ☐ (b) ☐
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0**
|
|
6
|
|
SHARED VOTING POWER
0
|
|
7
|
|
SOLE DISPOSITIVE POWER
0**
|
|
8
|
|
SHARED DISPOSITIVE POWER
0
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0**
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
0.0%**
|
12
|
|
TYPE OF REPORTING PERSON*
IV, OO
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
|
|
|
|
|
CUSIP No. 14167L103
|
|
13G/A
|
|
Page 3 of 7
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
Highland Capital Management Fund Advisors, L.P.
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ☐ (b) ☐
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
0**
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
0**
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0**
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
0.0%**
|
12
|
|
TYPE OF REPORTING PERSON*
IA, PN
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
|
|
|
|
|
CUSIP No. 14167L103
|
|
13G/A
|
|
Page 4 of 7
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
Strand Advisors XVI, Inc.
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ☐ (b) ☐
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
0**
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
0**
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0**
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
0.0%**
|
12
|
|
TYPE OF REPORTING PERSON*
HC, CO
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
|
|
|
|
|
CUSIP No. 14167L103
|
|
13G/A
|
|
Page 5 of 7
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
James D. Dondero
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ☐ (b) ☐
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
0**
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
0**
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0**
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
0.0%**
|
12
|
|
TYPE OF REPORTING PERSON*
HC, IN
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
SCHEDULE 13G/A
This Amendment No. 1 to Schedule 13G (this Amendment) is being filed on behalf of Highland Long/Short Healthcare Fund, a
series of Highland Funds I, a Delaware statutory trust (the Long/Short Fund), Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (Highland Fund Advisors), Strand Advisors XVI, Inc., a Delaware
corporation (Strand XVI), and James D. Dondero (collectively, the Reporting Persons). This Amendment modifies the original Schedule 13G filed with the Securities and Exchange Commission on February 10, 2017 (the
Original 13G) by the Reporting Persons.
Brad Ross is the President of Strand XVI. Strand XVI is the general partner of
Highland Fund Advisors. Highland Fund Advisors is the investment advisor to the Long/Short Fund. This Amendment relates to the Common Stock, par value $0.001 per share (the Common Stock), of CareDx, Inc., a Delaware corporation (the
Issuer). This Amendment is being filed to report that the Reporting Persons no longer own shares of Common Stock of the Issuer.
Item 4 Ownership.
Item 4 of the Original 13G is
hereby amended and restated to read as follows:
The Reporting Persons own 0 shares of Common Stock of the Issuer.
Item 5 Ownership of Five Percent or Less of a Class.
Item 5 of the Original 13G is hereby amended and restated to read as follows:
If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owners of
more than five percent of the class of securities, check the following ☒.
Item 10 Certification.
By signing below each of the Reporting Persons certifies that, to the best of such persons knowledge and belief, the securities referred
to above were acquired and held in the ordinary course of business and were not acquired and were not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not
held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: February 14, 2018
|
|
|
|
|
HIGHLAND FUNDS I, on behalf of its series Highland Long/Short Healthcare Fund
|
|
|
|
|
|
By:
|
|
/s/ Dustin Norris
|
|
|
|
|
Name: Dustin Norris
|
|
|
|
|
Title: Secretary
|
|
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
|
|
|
By:
|
|
Strand Advisors XVI, Inc., its general partner
|
|
|
|
|
|
By:
|
|
/s/ Dustin Norris
|
|
|
|
|
Name: Dustin Norris
|
|
|
|
|
Title: Secretary
|
|
STRAND ADVISORS XVI, INC.
|
|
|
|
|
|
By:
|
|
/s/ Dustin Norris
|
|
|
Name:
|
|
Dustin Norris
|
|
|
Title:
|
|
Secretary
|
|
/s/ James D. Dondero
|
James D. Dondero
|
CareDx (NASDAQ:CDNA)
Historical Stock Chart
From Mar 2024 to Apr 2024
CareDx (NASDAQ:CDNA)
Historical Stock Chart
From Apr 2023 to Apr 2024