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