SEC Form 4 · accession 0001104659-15-011697
Invitae Corp · NVTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randal W Scott
Officer — Chairman & CEO · Director
Period of report
Feb 18, 2015
Accepted (ET)
Feb 18, 2015 · 5:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501134
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 18, 2015 | C | 3,439,559 | — | A | 3,439,559 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF1 | — | Feb 18, 2015 | C | 15,715,788 | D | — | — | Common Stock | 2,619,298 | 0 | D |
| Series E Preferred StockF1 | — | Feb 18, 2015 | C | 3,921,568 | D | — | — | Common Stock | 653,595 | 0 | D |
| Series F Preferred StockF1 | — | Feb 18, 2015 | C | 1,000,000 | D | — | — | Common Stock | 166,666 | 0 | D |
Explanation of responses
- F1All shares of Preferred Stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of one share of common stock for every six shares of preferred stock, for no additional consideration.