SEC Form 4 · accession 0001179110-16-031240
Natera, Inc. · NTRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herm Rosenman
Officer — Chief Financial Officer
Period of report
Nov 3, 2016
Accepted (ET)
Nov 4, 2016 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604821
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F4 | Nov 3, 2016 | M | 5,000 | — | A | 27,089 | D | |
| Common Stock | Nov 3, 2016 | S | 1,852 | $7.98 | D | 25,237 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F5 | — | Nov 3, 2016 | M | 5,000 | D | — | — | Common Stock | 5,000 | 25,000 | D |
Explanation of responses
- F1Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.
- F2Each RSU represents a contingent right to receive one share of the common stock of the issuer.
- F3The sale of shares was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 31, 2016.
- F4Includes 1,811 shares acquired under the Issuer's 2015 Employee Stock Purchase Plan on October 31, 2016.
- F5The RSU vests over one year, in equal monthly installments, starting May 1, 2016.