0001415889-21-004552.txt : 20210924 0001415889-21-004552.hdr.sgml : 20210924 20210924213229 ACCESSION NUMBER: 0001415889-21-004552 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210922 FILED AS OF DATE: 20210924 DATE AS OF CHANGE: 20210924 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: 211278824 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 form4-09242021_060920.xml X0306 4 2021-09-22 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 CEO AND PRESIDENT Common Stock 2021-09-22 4 M 0 182 A 61024 D Common Stock 2021-09-22 4 M 0 3125 A 64149 D Common Stock 2021-09-23 4 S 0 1649 125.67 D 62500 D Common Stock 2021-09-24 4 S 0 3241 116.6857 D 59259 D Common Stock 2021-09-24 4 S 0 5292 117.9726 D 53967 D Common Stock 2021-09-24 4 S 0 10125 118.9143 D 43842 D Common Stock 2021-09-24 4 S 0 5802 120.5199 D 38040 D Common Stock 2021-09-24 4 S 0 2454 121.5184 D 35586 D Common Stock 12896 I by Rosewood Trust Restricted Stock Unit 2021-09-22 4 M 0 182 0 D Common Stock 182 1094 D Restricted Stock Unit 2021-09-22 4 M 0 3125 0 D Common Stock 3125 18750 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 sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2021. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.29 to $117.27 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 $117.36 to $118.29 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 $118.3990 to $119.25 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 $119.97 to $120.95 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 $121.17 to $121.90 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 Rosewood 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 Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood 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 22, 2020 and the remaining shares vest in 12 equal quarterly installments thereafter. /s/ Daniel Rabinowitz, Attorney-in-Fact 2021-09-24