0001179110-20-010475.txt : 20201015 0001179110-20-010475.hdr.sgml : 20201015 20201015175317 ACCESSION NUMBER: 0001179110-20-010475 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201013 FILED AS OF DATE: 20201015 DATE AS OF CHANGE: 20201015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rabinowitz Matthew CENTRAL INDEX KEY: 0001646382 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37478 FILM NUMBER: 201242260 MAIL ADDRESS: STREET 1: C/O NATERA, INC. STREET 2: 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 2020-10-13 0 0001604821 Natera, Inc. NTRA 0001646382 Rabinowitz Matthew C/O NATERA, INC., 201 INDUSTRIAL ROAD SUITE 410 SAN CARLOS CA 94070 1 1 0 0 Executive Chairman Common Stock 2020-10-13 4 M 0 307 A 572682 D Common Stock 2020-10-14 4 S 0 108 73.45 D 572574 D Common Stock 290000 I By RMDM Trust Common Stock 613496 I By Matthew Rabinowitz Grantor Retained Annuity Trust Restricted Stock Unit 2020-10-13 4 M 0 307 0 D Common Stock 307 1842 D Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting April 13, 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 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. The RMDM Trust is an irrevocable spendthrift trust for the benefit of Mr. Rabinowitz and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the RMDM Trust, Mr. Rabinowitz has no enforceable rights to distributions. The RMDM Trust is a fully discretionary trust and the distribution decisions for the RMDM Trust are vested in a committee. Mr. Rabinowitz disclaims beneficial ownership except to the extent of his pecuniary interest therein. Mr. Rabinowitz is a trustee of the Matthew Rabinowitz Grantor Retained Annuity Trust, and has voting and dispositive power with respect to the reported shares. Mr. Rabinowitz disclaims beneficial ownership except to the extent of his pecuniary interest therein. The RSUs vest over four years. 25% of the RSUs vest on April 13, 2019 and the remaining shares vest in 12 equal quarterly installments thereafter. /s/ Tami Chen, attorney-in-fact 2020-10-15