SEC Form 4 · accession 0001179110-16-033492
Natera, Inc. · NTRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Sheena
Officer — Chief Technology Officer · Director
Period of report
Dec 22, 2016
Accepted (ET)
Dec 27, 2016 · 7:48 pm EST
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 Stock | Dec 22, 2016 | M | 16,213 | $1.141 | A | 645,972 | D | |
| Common StockF1 | Dec 22, 2016 | S | 16,213 | $12.0049 | D | 629,759 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.141 | Dec 20, 2016 | M | 16,213 | D | — | Sep 19, 2022 | Common Stock | 16,213 | 39,354 | D |
Explanation of responses
- F1The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12.00 to $12.04 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The option shares are fully vested and may be exercised at any time.