0001179110-20-011091.txt : 20201112 0001179110-20-011091.hdr.sgml : 20201112 20201112213315 ACCESSION NUMBER: 0001179110-20-011091 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101111 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chapman Steven Leonard CENTRAL INDEX KEY: 0001711968 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37478 FILM NUMBER: 201308930 MAIL ADDRESS: STREET 1: 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 2010-11-11 0 0001604821 Natera, Inc. NTRA 0001711968 Chapman Steven Leonard C/O NATERA, INC., 201 INDUSTRIAL ROAD SUITE 410 SAN CARLOS CA 94070 1 1 0 0 Chief Executive Officer Common Stock 2020-11-10 4 M 0 12289 10.41 A 39660 D Common Stock 2020-11-10 4 M 0 5208 10.73 A 44868 D Common Stock 2020-11-10 4 M 0 18124 9.29 A 62992 D Common Stock 2020-11-10 4 S 0 20688 77.0325 D 42304 D Common Stock 2020-11-10 4 S 0 9476 78.2202 D 32828 D Common Stock 2020-11-10 4 S 0 5457 79.1079 D 27371 D Common Stock 2020-11-11 4 M 0 192 9.29 A 27563 D Common Stock 2020-11-11 4 M 0 12499 13.01 A 40062 D Common Stock 2020-11-11 4 M 0 11458 20.27 A 51520 D Common Stock 2020-11-11 4 M 0 37500 25.46 A 89020 D Common Stock 2010-11-11 4 M 0 32730 25.46 A 121750 D Common Stock 2020-11-11 4 S 0 94379 77.9813 D 27371 D Stock Option (right to buy) 10.41 2020-11-10 4 M 0 12289 0 D 2027-06-08 Common Stock 12289 11172 D Stock Option (right to buy) 10.73 2020-11-10 4 M 0 5208 0 D 2027-07-13 Common Stock 5208 5209 D Stock Option (right to buy) 9.29 2020-11-10 4 M 0 18124 0 D 2028-03-08 Common Stock 18124 49032 D Stock Option (right to buy) 9.29 2020-11-11 4 M 0 192 0 D 2028-03-08 Common Stock 192 48840 D Stock Option (right to buy) 13.01 2020-11-11 4 M 0 12499 0 D 2029-01-10 Common Stock 12499 54167 D Stock Option (right to buy) 20.27 2020-11-11 4 M 0 11458 0 D 2029-04-11 Common stock 11458 60417 D Stock Option (right to buy) 25.46 2020-11-11 4 M 0 37500 0 D 2030-03-26 Common Stock 37500 37500 D Stock Option (right to buy) 25.46 2020-11-11 4 M 0 32730 0 D 2030-03-26 Common Stock 32730 42270 D The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.71 to $77.69 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.73 to $78.73 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.765 to $79.40 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.41 to $78.28 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. The option shares vest over four years. 25% of the option shares vested and became exercisable on March 21, 2018 and the remaining shares vest in 36 equal monthly installments thereafter. The option shares vest over four years. 25% of the option shares vested and became exercisable on March 12, 2018 and the remaining shares vest in 36 equal monthly installments thereafter. The option shares vest over four years. 25% of the option shares vested and became exercisable on March 9, 2019 and the remaining shares vest in 36 equal monthly installments thereafter. The option shares vest over four years. 25% of the option shares vested and became exercisable on January 2, 2020 and the remaining shares vest in 36 equal monthly installments thereafter. The option shares vest over four years. 25% of the option shares vested and became exercisable on March 22, 2020 and the remaining shares vest in 36 equal monthly installments thereafter. The option vests upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Reporting Person achieving certain milestones relating to the Issuer's stock price. As of September 2, 2020, the Company's Board of Director determined the performance criteria had been met with respect to 37,500 shares. The option vests upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Reporting Person achieving certain milestones relating to the Issuer's stock price. As of October 1, 2020, the Company's Board of Director determined the performance criteria had been met with respect to 37,500 shares. /s/ Tami Chen, attorney-in-fact 2020-11-12