0001179110-20-007206.txt : 20200610 0001179110-20-007206.hdr.sgml : 20200610 20200610195147 ACCESSION NUMBER: 0001179110-20-007206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200608 FILED AS OF DATE: 20200610 DATE AS OF CHANGE: 20200610 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brophy Michael Burkes CENTRAL INDEX KEY: 0001697362 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37478 FILM NUMBER: 20955875 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 2020-06-08 0 0001604821 Natera, Inc. NTRA 0001697362 Brophy Michael Burkes C/O NATERA, INC., 201 INDUSTRIAL ROAD SUITE 410 SAN CARLOS CA 94070 0 1 0 0 Chief Financial Officer Common Stock 2020-06-08 4 M 0 25000 A 48274 D Common Stock 2020-06-09 4 S 0 9076 39.5750 D 39198 D Common Stock 2020-06-09 4 M 0 3021 A 42219 D Common Stock 2020-06-10 4 S 0 1197 42.19 D 41022 D Restricted Stock Units 2029-06-08 4 M 0 25000 0 D Common Stock 25000 50000 D Restricted Stock Unit 2020-06-09 4 M 0 3021 0 D Common Stock 3021 21146 D Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting September 19, 2019. Each RSU represents a contingent right to receive one share of the common stock of the issuer. The sale of shares was effected in order to satisfy tax liabilities due at the time of vesting. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.56 to $39.9838 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. Represents the partial vesting and settlement of RSUs, starting March 9, 2019. On March 22, 2019, the Reporting Person was granted RSUs covering 100,000 shares of common stock, which vests in tranches 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, based on the average closing price per share of the Issuer's common stock for a calendar month, calculated as of the last day of such calendar month. On June 8, 2020, the criteria was satisfied for the vesting of RSUs covering 25,000 shares of common stock. 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 2020-06-10