0001415889-21-004764.txt : 20211005 0001415889-21-004764.hdr.sgml : 20211005 20211005213109 ACCESSION NUMBER: 0001415889-21-004764 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211002 FILED AS OF DATE: 20211005 DATE AS OF CHANGE: 20211005 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: 211308650 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: 13011 MCCALLEN PASS STREET 2: BUILDING A SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78753 BUSINESS PHONE: 650-249-9090 MAIL ADDRESS: STREET 1: 13011 MCCALLEN PASS STREET 2: BUILDING A SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78753 4 1 form4-10052021_061044.xml X0306 4 2021-10-02 0001604821 Natera, Inc. NTRA 0001711968 Chapman Steven Leonard C/O NATERA, INC. 13011 MCCALLEN PASS BUILDING A SUITE 100 AUSTIN TX 78753 true true false false CEO AND PRESIDENT Common Stock 2021-10-02 4 M 0 3125 A 41196 D Common Stock 2021-10-04 4 S 0 1831 108.2042 D 39365 D Common Stock 2021-10-04 4 S 0 500 109.26 D 38865 D Common Stock 2021-10-04 4 S 0 154 111.54 D 38711 D Common Stock 2021-10-04 4 M 0 2084 13.01 A 40795 D Common Stock 2021-10-04 4 M 0 2084 20.27 A 42879 D Common Stock 2021-10-04 4 S 0 1784 107.8869 D 41095 D Common Stock 2021-10-04 4 S 0 1870 108.8050 D 39225 D Common Stock 2021-10-04 4 S 0 256 110.2430 D 38969 D Common Stock 2021-10-04 4 S 0 258 111.54 D 38711 D Common Stock 2021-10-04 4 S 0 1084 105.8759 D 11812 I by Rosewood Trust Common Stock 2021-10-04 4 S 0 5139 106.9660 D 6673 I by Rosewood Trust Common Stock 2021-10-04 4 S 0 4966 108.0664 D 1707 I by Rosewood Trust Common Stock 2021-10-04 4 S 0 1239 108.8064 D 468 I by Rosewood Trust Common Stock 2021-10-04 4 S 0 431 110.2314 D 37 I by Rosewood Trust Common Stock 2021-10-04 4 S 0 37 111.54 D 0 I by Rosewood Trust Common Stock 2021-10-05 4 S 0 1608 110.91 D 37103 D Restricted Stock Unit 2021-10-02 4 M 0 3125 0 D Common Stock 3125 15625 D Stock Option (right to buy) 13.01 2021-10-04 4 M 0 2084 0 D 2029-01-10 Common Stock 2084 31250 D Stock Option (right to buy) 20.27 2021-10-04 4 M 0 2084 0 D 2029-04-11 Common Stock 2084 37500 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 24, 2021. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.59 to $108.57 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 $109.05 to $109.60 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 sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021, as amended on May 14, 2021 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.48 to $108.42 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 $108.49 to $109.23 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 $110.15 to $110.65 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 sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.39 to $106.2450 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 Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.4550 to $107.43 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 $107.5550 to $108.52 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 $108.5950 to $109.14 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 $109.6250 to $110.47 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 sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs in compliance with Rule 10b5-1. The RSUs vest over four years. 25% of the RSUs vested on January 2, 2020 and the remaining shares vest in 12 equal quarterly 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. /s/ Tami Chen, Attorney-in-Fact 2021-10-05