SEC Form 4 · accession 0001179110-18-011382
Natera, Inc. · NTRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Leonard Chapman
Officer — Chief Operating Officer
Period of report
Sep 11, 2018
Accepted (ET)
Sep 13, 2018 · 6:10 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 Stock | Sep 11, 2018 | M | 13,421 | $2.6569 | A | 16,628 | D | |
| Common Stock | Sep 11, 2018 | M | 10,225 | $3.7816 | A | 26,853 | D | |
| Common Stock | Sep 11, 2018 | M | 5,377 | $7.4491 | A | 32,230 | D | |
| Common Stock | Sep 11, 2018 | M | 4,474 | $2.6569 | A | 36,704 | D | |
| Common Stock | Sep 11, 2018 | M | 11,503 | $3.7816 | A | 48,207 | D | |
| Common StockF2 | Sep 11, 2018 | S | 44,500 | $25.1548 | D | 3,707 | D | |
| Common Stock | Sep 11, 2018 | S | 500 | $25.61 | D | 3,207 | 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)F3 | $2.6569 | Sep 11, 2018 | M | 13,241 | D | — | Feb 24, 2024 | Common Stock | 13,421 | 0 | D |
| Stock Option (right to buy)F3 | $3.7816 | Sep 11, 2018 | M | 10,225 | D | — | Sep 17, 2024 | Common Stock | 10,225 | 0 | D |
| Stock Option (right to buy)F4 | $7.4491 | Sep 11, 2018 | M | 5,377 | D | — | Mar 25, 2025 | Common Stock | 5,377 | 20,505 | D |
| Stock Option (right to buy)F3 | $2.6569 | Sep 11, 2018 | M | 4,474 | D | — | Feb 24, 2024 | Common Stock | 4,474 | 0 | D |
| Stock Option (right to buy)F3 | $3.7816 | Sep 11, 2018 | M | 11,503 | D | — | Sep 17, 2024 | Common Stock | 11,503 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2018.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.59 to $25.58 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The options are 100% vested and exercisable.
- F4The option shares vest over four years. 25% of the option shares vest and become exercisable on February 16, 2016 and the remaining shares vest in 36 equal monthly installments thereafter.