0001415889-21-002772.txt : 20210602 0001415889-21-002772.hdr.sgml : 20210602 20210602200506 ACCESSION NUMBER: 0001415889-21-002772 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210528 FILED AS OF DATE: 20210602 DATE AS OF CHANGE: 20210602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEALY JAMES CENTRAL INDEX KEY: 0001245624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37478 FILM NUMBER: 21990873 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 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 form4-06022021_050652.xml X0306 4 2021-05-28 0001604821 Natera, Inc. NTRA 0001245624 HEALY JAMES C/O NATERA, INC. 13011 MCCALLEN PASS BUILDING A SUITE 100 AUSTIN TX 78753 true false false false Common Stock 2021-05-28 4 M 0 2856 A 32472 D Common Stock 1550280 I by Sofinnova Venture Partners VIII, L.P. Common Stock 1550280 I by Sofinnova Venture Partners IX, L.P. Restricted Stock Unit 2021-05-28 4 M 0 2856 0 D Common Stock 2856 0 D Restricted Stock Unit 2021-05-28 4 A 0 1307 0 A Common Stock 1307 1307 D Stock Option (right to buy) 94.14 2021-05-28 4 A 0 2614 0 A 2031-05-27 Common Stock 2614 2614 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Mr. Healy is a managing member of each of Sofinnova Management VIII, L.L.C. ("Sofinnova Management VIII") and Sofinnova Management IX, L.L.C. ("Sofinnova Management IX"). Sofinnova Management VIII is the general partner of Sofinnova Venture Partners VIII, L.P., and Sofinnova Management IX is the general partner of Sofinnova Venture Partners IX, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. The RSU vested in full on May 28, 2021. The RSU shall vest in full on May 25, 2022. The RSU will become fully vested in the event that the Issuer is subject to a change in control. The option shares shall vest and become exercisable in full on May 25, 2022. The option shares will become fully vested and exercisable in the event that the Issuer is subject to a change in control. /s/ Tami Chen 2021-06-02