0001415889-21-001426.txt : 20210310
0001415889-21-001426.hdr.sgml : 20210310
20210310190757
ACCESSION NUMBER: 0001415889-21-001426
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210308
FILED AS OF DATE: 20210310
DATE AS OF CHANGE: 20210310
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: 21731324
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: 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
form4-03102021_040341.xml
X0306
4
2021-03-08
0001604821
Natera, Inc.
NTRA
0001711968
Chapman Steven Leonard
C/O NATERA, INC.
13011 MCCALLEN PASS BUILDING A SUITE 100
AUSTIN
TX
78753
true
true
false
false
CHIEF EXECUTIVE OFFICER
Common Stock
2021-03-08
4
M
0
895
10.41
A
38059
D
Common Stock
2021-03-08
4
M
0
1041
10.73
A
39100
D
Common Stock
2021-03-08
4
M
0
7035
9.29
A
46135
D
Common Stock
2021-03-08
4
M
0
6697
13.01
A
52832
D
Common Stock
2021-03-08
4
M
0
4332
13.01
A
57164
D
Common Stock
2021-03-08
4
S
0
3308
93.249
D
53856
D
Common Stock
2021-03-08
4
S
0
2400
94.421
D
51456
D
Common Stock
2021-03-08
4
S
0
4452
96.189
D
47004
D
Common Stock
2021-03-08
4
S
0
4524
97.115
D
42480
D
Common Stock
2021-03-08
4
S
0
1752
98.130
D
40728
D
Common Stock
2021-03-08
4
S
0
2559
100.512
D
38169
D
Common Stock
2021-03-08
4
S
0
1005
101.623
D
37164
D
Common Stock
2021-03-09
4
M
0
2297
A
39461
D
Common Stock
2021-03-09
4
M
0
15625
A
55086
D
Common Stock
2021-03-09
4
M
0
3053
9.29
A
58139
D
Common Stock
2021-03-09
4
M
0
10855
13.01
A
68994
D
Common Stock
2021-03-09
4
M
0
6488
20.27
A
75482
D
Common Stock
2021-03-09
4
M
0
1931
25.46
A
77413
D
Common Stock
2021-03-09
4
S
0
21731
99.279
D
55682
D
Common Stock
2021-03-09
4
S
0
596
100.044
D
55086
D
Common Stock
2021-03-10
4
S
0
9072
97.31
D
46014
D
Stock Option (right to buy)
10.41
2021-03-08
4
M
0
895
0
D
2027-06-08
Common Stock
895
6909
D
Stock Option (right to buy)
10.73
2021-03-08
4
M
0
1041
0
D
2027-07-13
Common Stock
1041
2824
D
Stock Option (right to buy)
9.29
2021-03-08
4
M
0
7035
0
D
2028-03-08
Common Stock
7035
39683
D
Stock Option (right to buy)
13.01
2021-03-08
4
M
0
6697
0
D
2029-01-10
Common Stock
6697
45834
D
Stock Option (right to buy)
13.01
2021-03-08
4
M
0
4332
0
D
2029-01-10
Common Stock
4332
73355
D
Restricted Stock Unit
2021-03-09
4
M
0
2297
0
D
2028-03-08
Common Stock
2297
9185
D
Restricted Stock Unit
2021-03-09
4
M
0
15625
0
D
2029-01-10
Common Stock
15625
15625
D
Stock Option (right to buy)
9.29
2021-03-09
4
M
0
3053
0
D
2028-03-08
Common Stock
3053
36630
D
Stock Option (right to buy)
13.01
2021-03-09
4
M
0
10855
0
D
2029-01-10
Common Stock
10855
62500
D
Stock Option (right to buy)
20.27
2021-03-09
4
M
0
6488
0
D
2029-04-11
Common Stock
6488
52084
D
Stock Option (right to buy)
25.46
2021-03-09
4
M
0
1931
0
D
2030-03-26
Common Stock
1931
37500
D
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.79 to $93.74 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.06 to $94.91 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.62 to $96.60 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.65 to $97.63 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.80 to $98.425 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.16 to $100.99 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.298 to $101.70 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 Restricted Stock Units ("RSUs"), starting March 9, 2019.
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 on September 19, 2019.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.95 to $99.95 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.97 to $100.14 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.
The sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs pursuant to Rule 10b5-1.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.31 to $97.6342 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.
The option shares vest over four years. 25% of the option shares vested and became exercisable on March 21, 2018 and the remaining shares vest in 36 equal monthly installments thereafter.
The option shares vest over four years. 25% of the option shares vested and became exercisable on March 12, 2018 and the remaining shares vest in 36 equal monthly installments thereafter.
The option shares vest over four years. 25% of the option shares vested and became exercisable on March 9, 2019 and the remaining shares vest in 36 equal monthly installments thereafter.
The option shares vest over four years. 25% of the option shares vested and became exercisable on January 2, 2020 and the remaining shares vest in 36 equal monthly installments thereafter.
This option becomes exercisable, if at all, 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. As of December 18, 2020, the criteria was satisfied with respect to 18,750 additional shares.
The RSUs vest over four years. 25% of the RSUs vested on March 9, 2019 and the remaining shares vest in 12 equal quarterly installments thereafter.
On January 11, 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. On March 9, 2021, the criteria was satisfied for the vesting of RSUs covering 15,625 shares of common stock.
This option becomes exercisable, if at all, 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. As of March 9, 2021, the criteria was satisfied with respect to 31,250 additional shares.
The option shares vest over four years. 25% of the option shares vested and became exercisable on March 22, 2020 and the remaining shares vest in 36 equal monthly installments thereafter.
The option becomes exercisable, if at all, 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. As of October 1, 2020, the criteria was satisfied with respect to 37,500 shares.
/s/ Tami Chen, Attorney-in-Fact
2021-03-10