CareDx (NASDAQ: CDNA) files shelf to register equity, debt and warrants
CareDx, Inc. filed an automatic shelf registration on Form S-3 to register an unspecified aggregate amount of common stock, preferred stock, debt securities, warrants, subscription rights and/or units from time to time after this registration statement becomes effective. The shelf prospectus describes broad terms and distribution methods and states that each offering will be detailed in a prospectus supplement.
The prospectus notes 51,274,651 shares of common stock outstanding as of March 31, 2026, authorized capital of 100,000,000 common shares and 10,000,000 preferred shares, and discloses outstanding equity awards and the Nasdaq listing (symbol CDNA).
Positive
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Insights
Registration is a standard, broadly‑defined S-3 shelf for future issuances.
The filing is structured as an automatic shelf registration under Rule 405 and allows CareDx to offer a mix of equity, debt and derivative securities from time to time, with specific terms to be disclosed in prospectus supplements. The registrant retains broad discretion over use of proceeds and will supply offering-specific detail in supplements.
Key legal qualifiers include customary anti-dilution/convertibility mechanics to be set in supplements and the Company’s incorporation of prior SEC reports by reference; timing and amounts are not stated in this shelf document.
Market impact depends entirely on future prospectus supplements and issuance size.
The shelf provides flexibility to raise capital via common or preferred equity, debt, warrants, subscription rights or units. Without a stated offering size or intended timing, market effect is indeterminate and will depend on the size, pricing and method disclosed in each supplement.
Watch future prospectus supplements and Form 8-K/current reports for concrete offering sizes, pricing, and stated uses of proceeds.
Key Figures
Key Terms
automatic shelf regulatory
well-known seasoned issuer regulatory
prospectus supplement regulatory
units financial
Offering Details
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
UNDER
THE SECURITIES ACT OF 1933
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Delaware
(State or other jurisdiction of
incorporation or organization) |
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94-3316839
(I.R.S. Employer
Identification Number) |
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Brisbane, California 94005
(415) 287-2300
President and Chief Executive Officer
CareDx, Inc.
8000 Marina Boulevard, 4th Floor
Brisbane, California 94005
(415) 287-2300
Robert A. Freedman, Esq.
Chelsea Anderson, Esq.
Fenwick & West LLP
One Front Street, 33rd Floor
San Francisco, CA 94111
(415) 875-2300
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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Emerging growth company
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Preferred Stock
Debt Securities
Warrants
Subscription Rights
Units
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Page
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ABOUT THIS PROSPECTUS
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| | | | 1 | | |
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PROSPECTUS SUMMARY
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| | | | 3 | | |
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RISK FACTORS
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| | | | 5 | | |
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DISCLOSURE REGARDING FORWARD-LOOKING STATEMENTS
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| | | | 6 | | |
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USE OF PROCEEDS
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| | | | 8 | | |
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DESCRIPTION OF CAPITAL STOCK
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| | | | 9 | | |
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DESCRIPTION OF DEBT SECURITIES
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| | | | 14 | | |
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DESCRIPTION OF WARRANTS
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| | | | 21 | | |
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DESCRIPTION OF SUBSCRIPTION RIGHTS
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| | | | 23 | | |
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DESCRIPTION OF UNITS
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| | | | 24 | | |
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PLAN OF DISTRIBUTION
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| | | | 25 | | |
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LEGAL MATTERS
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EXPERTS
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WHERE YOU CAN FIND MORE INFORMATION
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IMPORTANT INFORMATION INCORPORATED BY REFERENCE
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| | | | 31 | | |
8000 Marina Boulevard, 4th Floor
Brisbane, California 94005
Attn: Chief Executive Officer
Telephone Number: (415) 287-2300
Preferred Stock
Debt Securities
Warrants
Subscription Rights
Units
INFORMATION NOT REQUIRED IN PROSPECTUS
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SEC registration fee
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| | | $ | (1) | | |
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Transfer agent’s fees and expenses
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| | | $ | (2) | | |
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Legal fees and expenses
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| | | $ | (2) | | |
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Accounting fees and expenses
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| | | $ | (2) | | |
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Trustee fees and expenses
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| | | $ | (2) | | |
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Printing fees and expenses
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| | | $ | (2) | | |
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Miscellaneous fees and expenses
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| | | $ | (2) | | |
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Total
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| | | $ | (2) | | |
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Incorporated by Reference
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Exhibit
Number |
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Exhibit Description
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Form
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File No.
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Filing Date
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Exhibit
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Filed
Here-with |
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| | 1.1* | | | Form of Underwriting Agreement. | | | | | | | | | | | | | | | | |
| | 3.1 | | |
Amended and Restated Certificate of Incorporation.
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10-Q
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001-36536
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8/28/2014
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3.1
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Certificate of Amendment to the Amended and Restated Certificate of Incorporation.
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8-K
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001-36536
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6/21/2021
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3.1
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Certificate of Amendment to the Amended and Restated Certificate of Incorporation.
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8-K
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001-36536
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6/20/2023
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3.1
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Amended and Restated Bylaws.
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8-K
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001-36536
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12/15/2025
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3.1
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Form of common stock certificate.
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10-K
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001-36536
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3/31/2015
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4.1
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Form of Indenture.
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X
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Form of Debt Security.
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X
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| | 4.4* | | | Form of Warrant. | | | | | | | | | | | | | | | | |
| | 4.5* | | | Form of Warrant Agreement. | | | | | | | | | | | | | | | | |
| | 4.6* | | | Form of Certificate of Designations of Preferred Stock. | | | | | | | | | | | | | | | | |
| | 4.7* | | | Form of Preferred Stock Certificate. | | | | | | | | | | | | | | | | |
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Incorporated by Reference
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Exhibit
Number |
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Exhibit Description
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Form
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File No.
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Filing Date
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Exhibit
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Filed
Here-with |
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| | 4.8* | | | Form of Subscription Rights Certificate. | | | | | | | | | | | | | | | | |
| | 4.9* | | | Form of Subscription Rights Agreement. | | | | | | | | | | | | | | | | |
| | 4.10* | | | Form of Unit. | | | | | | | | | | | | | | | | |
| | 4.11* | | | Form of Unit Agreement. | | | | | | | | | | | | | | | | |
| | 4.12* | | | Form of Rights Agreement. | | | | | | | | | | | | | | | | |
| | 5.1 | | |
Opinion of Fenwick & West LLP.
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X
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Consent of Deloitte & Touche LLP, Independent Registered Public Accounting Firm.
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X
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Consent of Fenwick & West LLP (included in Exhibit 5.1).
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X
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Power of Attorney (included on the signature page to this Registration Statement).
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X
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| | 25.1** | | | Form T-1 Statement of Eligibility of Trustee for Senior Indenture under the Trust Indenture Act of 1939. | | | | | | | | | | | | | | | | |
| | 25.2** | | | Form T-1 Statement of Eligibility for Subordinated Indenture under the Trust Indenture Act of 1939. | | | | | | | | | | | | | | | | |
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Filing Fee Table
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X
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| | By: | | |
/s/ John W. Hanna
John W. Hanna
President and Chief Executive Officer |
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Signature
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Title
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Date
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/s/ John W. Hanna
John W. Hanna
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President, Chief Executive Officer and Director
(Principal Executive Officer) |
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April 28, 2026
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/s/ Keith Kennedy
Keith Kennedy
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Chief Operating Officer and Chief Financial Officer
(Principal Financial and Accounting Officer) |
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April 28, 2026
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/s/ George W. Bickerstaff, III
George W. Bickerstaff, III
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Director
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April 28, 2026
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/s/ Fred E. Cohen, M.D.
Fred E. Cohen, M.D.
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Director
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April 28, 2026
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/s/ Christine M. Cournoyer
Christine M. Cournoyer
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Director
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April 28, 2026
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/s/ Michael D. Goldberg
Michael D. Goldberg
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Director
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April 28, 2026
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/s/ Suresh Gunasekaran
Suresh Gunasekaran
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Director
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April 28, 2026
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/s/ Peter Maag, Ph.D.
Peter Maag, Ph.D.
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Director
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April 28, 2026
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/s/ Bryan Riggsbee
Bryan Riggsbee
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Director
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April 28, 2026
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/s/ Arthur Torres
Arthur Torres
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Director
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April 28, 2026
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/s/ Hannah Valantine
Hannah Valantine
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Director
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April 28, 2026
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