0001415889-22-000324.txt : 20220104 0001415889-22-000324.hdr.sgml : 20220104 20220104212857 ACCESSION NUMBER: 0001415889-22-000324 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220102 FILED AS OF DATE: 20220104 DATE AS OF CHANGE: 20220104 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: 22509100 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 form4-01042022_060149.xml X0306 4 2022-01-02 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 2022-01-02 4 M 0 3125 A 48740 D Common Stock 2022-01-03 4 M 0 3052 9.29 A 51792 D Common Stock 2022-01-03 4 M 0 4072 13.01 A 55864 D Common Stock 2022-01-03 4 M 0 2084 20.27 A 57948 D Common Stock 2022-01-03 4 M 0 18750 25.46 A 76698 D Common Stock 2022-01-03 4 S 0 2260 86.2154 D 74438 D Common Stock 2022-01-03 4 S 0 12890 87.8182 D 61548 D Common Stock 2022-01-03 4 S 0 10005 88.4361 D 51543 D Common Stock 2022-01-03 4 S 0 1493 89.2864 D 50050 D Common Stock 2022-01-03 4 S 0 1310 90.8283 D 48740 D Common Stock 2022-01-03 4 S 0 1209 91.52 D 47531 D Restricted Stock Unit 2022-01-02 4 M 0 3125 0 D Common Stock 3125 12500 D Stock Option (right to buy) 9.29 2022-01-03 4 M 0 3052 0 D 2028-03-08 Common Stock 3052 9158 D Stock Option (right to buy) 13.01 2022-01-03 4 M 0 4072 0 D 2029-01-10 Common Stock 4072 25095 D Stock Option (right to buy) 20.27 2022-01-03 4 M 0 2084 0 D 2029-04-11 Common Stock 2084 31250 D Stock Option (right to buy) 25.46 2022-01-03 4 M 0 18750 0 D 2030-03-26 Common Stock 18750 0 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 pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021, as amended on May 14, 2021. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.73 to $86.69 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 $87.11 to $88.09 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 $88.11 to $89.10 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 $89.12 to $89.61 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 $90.70 to $91.10 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 in compliance with Rule 10b5-1. The RSUs vest over four years. 25% of the RSUs vested on January 2, 2020 and the remaining shares vest in 12 equal quarterly 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. 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 became exercisable 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. /s/ Tami Chen, Attorney-in-Fact 2022-01-04