SEC Form 4 · accession 0001179110-18-011538
Natera, Inc. · NTRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd C Cozzens
Director
Period of report
Sep 14, 2018
Accepted (ET)
Sep 18, 2018 · 6:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604821
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $24.42 | Sep 14, 2018 | A | 11,169 | A | — | Sep 13, 2028 | Common Stock | 11,169 | 11,169 | D |
| Restricted Stock UnitsF2,F3 | — | Sep 14, 2018 | A | 5,785 | A | — | — | Common Stock | 5,785 | 5,785 | D |
Explanation of responses
- F1The option shares will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The option shares will become fully vested and exercisable in the event that the Company is subject to a change in control.
- F2Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Common Stock of the Issuer.
- F3The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control.