0001415889-21-004376.txt : 20210913 0001415889-21-004376.hdr.sgml : 20210913 20210913203455 ACCESSION NUMBER: 0001415889-21-004376 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210909 FILED AS OF DATE: 20210913 DATE AS OF CHANGE: 20210913 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: 211250999 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: 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 form4-09132021_050947.xml X0306 4 2021-09-09 0001604821 Natera, Inc. NTRA 0001646382 Rabinowitz Matthew C/O NATERA, INC. 13011 MCCALLEN PASS BUILDING A SUITE 100 AUSTIN TX 78753 true true false false EXECUTIVE CHAIRMAN Common Stock 2021-09-09 4 M 0 2818 A 582944 D Common Stock 2021-09-10 4 S 0 876 119.5285 D 582068 D Common Stock 613496 I Matthew Rabinowitz Grantor Retained Annuity Trust Common Stock 40000 I RMDM Trust Restricted Stock Unit 2021-09-09 4 M 0 2818 0 D Common Stock 2818 5637 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs in compliance with Rule 10b5-1. The Reporting Person is subject to a Lock-up Letter Agreement that expires on September 19, 2021. The sale of these 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 Reporting Person is a trustee of the Matthew Rabinowitz Grantor Retained Annuity Trust and has voting and dispositive power with respect to the reported shares. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. The RMDM Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the RMDM Trust, the Reporting Person 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. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. 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. /s/ Tami Chen, Attorney-in-Fact 2021-09-13