SEC Form 4 · accession 0001104659-16-145693
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
Sep 16, 2016
Accepted (ET)
Sep 20, 2016 · 4:01 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 Stock | Sep 16, 2016 | M | 1,000 | $3.42 | A | 9,812 | D | |
| Common Stock | Sep 16, 2016 | S | 1,000 | $8.00 | 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)F2 | $3.42 | Sep 16, 2016 | M | 1,000 | D | — | Feb 28, 2024 | Common Stock | 1,000 | 2,333 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b 5-1 trading plan previously adopted by the reporting person.
- F2The 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.