Filing Details
- Accession Number:
- 0001179110-18-009036
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-25 21:31:36
- Reporting Period:
- 2018-06-21
- Accepted Time:
- 2018-06-25 21:31:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1604821 | Natera Inc. | NTRA | Services-Medical Laboratories (8071) | 010894487 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1711968 | Leonard Steven Chapman | C/O Natera, Inc., 201 Industrial Road Suite 410 San Carlos CA 94070 | Chief Operating Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-06-21 | 1,117 | $0.00 | 3,588 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-22 | 381 | $13.95 | 3,207 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-06-25 | 9,585 | $2.66 | 12,792 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-25 | 9,586 | $3.78 | 22,738 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-25 | 20,130 | $7.45 | 42,508 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-25 | 23,965 | $1.41 | 66,473 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-25 | 14,067 | $2.66 | 80,540 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-25 | 9,586 | $3.78 | 90,126 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-25 | 86,919 | $18.00 | 3,207 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Acquisiton | 2018-06-21 | 1,117 | $0.00 | 1,117 | $0.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-06-25 | 9,585 | $0.00 | 9,585 | $2.66 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-06-25 | 9,586 | $0.00 | 9,586 | $3.78 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-06-25 | 20,130 | $0.00 | 20,130 | $7.45 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-06-25 | 23,965 | $0.00 | 23,965 | $1.14 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-06-25 | 14,067 | $0.00 | 14,067 | $2.66 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-06-25 | 9,586 | $0.00 | 9,586 | $3.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,290 | No | 4 | M | Direct | ||
| 4,474 | 2024-02-24 | No | 4 | M | Direct | |
| 10,225 | 2024-09-17 | No | 4 | M | Direct | |
| 25,882 | 2025-03-25 | No | 4 | M | Direct | |
| 0 | 2022-05-16 | No | 4 | M | Direct | |
| 13,421 | 2024-02-24 | No | 4 | M | Direct | |
| 11,503 | 2024-09-17 | No | 4 | M | Direct |
Footnotes
- Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting March 21, 2018.
- Each RSU represents a contingent right to receive one share of the common stock of the issuer.
- The sale of shares was effected in order to satisfy tax liabilities due at the time of vesting.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29,2016.
- The RSUs vest over four years. 25% of the RSUs vest on March 21, 2018 and the remaining shares vest in 12 equal quarterly installments thereafter.
- The option shares vest over four years. 25% of the option shares vest and become exercisable on June 1, 2014 and the remaining shares vest in 36 equal monthly installments thereafter.
- The option shares vest over four years. 25% of the option shares vest and become exercisable on March 1, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
- The 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.
- The option shares are 100% vested and exercisable.
- The option shares vest over four years. 25% of the option shares vest and become exercisable on January 15, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
- The option shares vest over four years. 25% of the option shares vest and become exercisable on May 1, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
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