SEC Form 4 · accession 0001104659-16-101835
Invitae Corp · NVTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Alderson
Officer — Chief Strategy Officer
Period of report
Feb 29, 2016
Accepted (ET)
Mar 2, 2016 · 4:20 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 Stock | Feb 29, 2016 | M | 5,000 | $3.42 | A | 29,319 | D | |
| Common StockF1,F2 | Feb 29, 2016 | S | 5,000 | $9.05 | D | 24,319 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $3.42 | Feb 29, 2016 | M | 5,000 | D | — | Dec 31, 2017 | Common Stock | 5,000 | 20,833 | D |
Explanation of responses
- F1Represents a weighted average sale price. Actual sales prices ranged from $9.03 to $9.05.
- F2Reporting person undertakes to provide upon request to the Securities and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within the range indicated.
- F3The option became exercisable as to 25% of the shares on February 28, 2015, and becomes exercisable as to 1/48th of the shares each full month thereafter.