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