SEC Form 4 · accession 0001104659-16-121861
Invitae Corp · NVTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patty Dumond
Officer — VP Fin. & Principal Acct. Off.
Period of report
May 16, 2016
Accepted (ET)
May 18, 2016 · 4:02 pm EDT
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 StockF2 | May 16, 2016 | M | 1,000 | $2.82 | A | 12,033 | D | |
| Common StockF2 | May 16, 2016 | S | 1,000 | $8.73 | D | 11,033 | D | |
| Common StockF3 | May 17, 2016 | S | 2,221 | $8.35 | D | 8,812 | 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)F4 | $2.82 | May 16, 2016 | M | 1,000 | D | — | Sep 11, 2023 | Common Stock | 1,000 | 9,333 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b 5-1 trading plan previously adopted by the reporting person.
- F2Includes 2,221 shares of the Company's Common Stock acquired pursuant to the Company's Employee Stock Purchase Plan.
- F3Represents a weighted average purchase price for multiple transactions at prices ranging from $7.94 to $8.77, inclusive. Upon request by the Commission staff, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares purchased by the reporting person on May 17, 2016 at each separate price.
- F4The option became exercisable as to 25% of the shares on September 11, 2014, and becomes exercisable as to 1/48th of the shares each full month thereafter.