0001179110-20-009706.txt : 20200911 0001179110-20-009706.hdr.sgml : 20200911 20200911203719 ACCESSION NUMBER: 0001179110-20-009706 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200909 FILED AS OF DATE: 20200911 DATE AS OF CHANGE: 20200911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rabinowitz Matthew CENTRAL INDEX KEY: 0001646382 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37478 FILM NUMBER: 201172030 MAIL ADDRESS: STREET 1: C/O NATERA, INC. STREET 2: 201 INDUSTRIAL ROAD, SUITE 410 CITY: SAN CARLOS STATE: CA ZIP: 94070 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Natera, Inc. CENTRAL INDEX KEY: 0001604821 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 010894487 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 INDUSTRIAL ROAD STREET 2: SUITE 410 CITY: SAN CARLOS STATE: CA ZIP: 94070 BUSINESS PHONE: 650-249-9090 MAIL ADDRESS: STREET 1: 201 INDUSTRIAL ROAD STREET 2: SUITE 410 CITY: SAN CARLOS STATE: CA ZIP: 94070 4 1 edgar.xml FORM 4 - X0306 4 2020-09-09 0 0001604821 Natera, Inc. NTRA 0001646382 Rabinowitz Matthew C/O NATERA, INC., 201 INDUSTRIAL ROAD SUITE 410 SAN CARLOS CA 94070 1 1 0 0 Executive Chairman Common Stock 2020-09-09 4 M 0 2819 A 573130 D Common Stock 2020-09-10 4 S 0 1014 60.7712 D 572116 D Common Stock 540000 I By RMDM Trust Common Stock 613496 I By Matthew Rabinowitz Grantor Retained Annuity Trust Restricted Stock Unit 2020-09-09 4 M 0 2819 0 D Common Stock 2819 16909 D Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting March 9, 2019. Each RSU represents a contingent right to receive one share of the common stock of the issuer. Excludes 540,000 shares previously reported as owned directly which have been transferred to the RMDM Trust. The sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs. The Reporting Person is subject to a Lock-Up Letter Agreement. The sale of shares is a permissible exemption under the terms of the Lock-Up Letter Agreement. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.76 to $61.105 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. These reported shares are subject to restrictions in a Lock-Up Letter Agreement that expire on November 10, 2020. The RMDM Trust is an irrevocable spendthrift trust for the benefit of Mr. Rabinowitz and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the RMDM Trust, Mr. Rabinowitz has no enforceable rights to distributions. The RMDM Trust is a fully discretionary trust and the distribution decisions for the RMDM Trust are vested in a committee. Mr. Rabinowitz disclaims beneficial ownership except to the extent of his pecuniary interest therein. Mr. Rabinowitz is a trustee of the Matthew Rabinowitz Grantor Retained Annuity Trust, and has voting and dispositive power with respect to the reported shares. Mr. Rabinowitz disclaims beneficial ownership except to the extent of his pecuniary interest therein. The RSUs vest over four years. 25% of the RSUs vest on March 9, 2019 and the remaining shares vest in 12 equal quarterly installments thereafter. /s/ Tami Chen, attorney-in-fact 2020-09-11