0001179110-20-010259.txt : 20201005
0001179110-20-010259.hdr.sgml : 20201005
20201005195553
ACCESSION NUMBER: 0001179110-20-010259
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201001
FILED AS OF DATE: 20201005
DATE AS OF CHANGE: 20201005
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: 201225154
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
2020-10-01
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
2020-10-01
4
M
0
18750
A
45170
D
Common Stock
2020-10-02
4
M
0
3125
A
48295
D
Common Stock
2020-10-05
4
S
0
11185
71.24
D
37110
D
Restricted Stock Unit
2020-10-01
4
M
0
18750
0
D
Common Stock
18750
18750
D
Restricted Stock Unit
2020-10-02
4
M
0
3125
0
D
Common Stock
3125
28125
D
Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting October 2020.
Each RSU represents a contingent right to receive one share of the common stock of the issuer.
Represents the partial vesting and settlement of RSUs, starting January 2, 2020.
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 that expires on November 10, 2020. The sale of shares is a permissible exemption under the terms of the Lock-Up Letter Agreement.
These reported shares are subject to restrictions in the Lock-Up Letter Agreement.
On March 27, 2020, the Reporting Person was granted a RSU, which vests in three tranches upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Issuer's stock price. On October 1, 2020, the Issuer's Board of Directors determined that the milestone for the first tranche was satisfied, resulting in the vesting of the reported shares of common stock under the RSU.
The RSUs vest over four years. 25% of the RSUs vest on January 2, 2020 and the remaining shares vest in 12 equal quarterly installments thereafter.
/s/ Tami Chen, attorney-in-fact
2020-10-05