Filing Details
- Accession Number:
- 0001415889-21-001426
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-10 19:07:57
- Reporting Period:
- 2021-03-08
- Accepted Time:
- 2021-03-10 19:07:57
- 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. 13011 Mccallen Pass Building A Suite 100 Austin TX 78753 | Chief Executive Officer | No | No | 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 | 2021-03-08 | 895 | $10.41 | 38,059 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 1,041 | $10.73 | 39,100 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 7,035 | $9.29 | 46,135 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 6,697 | $13.01 | 52,832 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 4,332 | $13.01 | 57,164 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-08 | 3,308 | $93.25 | 53,856 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 2,400 | $94.42 | 51,456 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 4,452 | $96.19 | 47,004 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 4,524 | $97.12 | 42,480 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 1,752 | $98.13 | 40,728 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 2,559 | $100.51 | 38,169 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 1,005 | $101.62 | 37,164 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-09 | 2,297 | $0.00 | 39,461 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-09 | 15,625 | $0.00 | 55,086 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-09 | 3,053 | $9.29 | 58,139 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-09 | 10,855 | $13.01 | 68,994 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-09 | 6,488 | $20.27 | 75,482 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-09 | 1,931 | $25.46 | 77,413 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-09 | 21,731 | $99.28 | 55,682 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-09 | 596 | $100.04 | 55,086 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-10 | 9,072 | $97.31 | 46,014 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-08 | 895 | $0.00 | 895 | $10.41 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-08 | 1,041 | $0.00 | 1,041 | $10.73 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-08 | 7,035 | $0.00 | 7,035 | $9.29 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-08 | 6,697 | $0.00 | 6,697 | $13.01 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-08 | 4,332 | $0.00 | 4,332 | $13.01 |
| Common Stock | Restricted Stock Unit | Disposition | 2021-03-09 | 2,297 | $0.00 | 2,297 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2021-03-09 | 15,625 | $0.00 | 15,625 | $0.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-09 | 3,053 | $0.00 | 3,053 | $9.29 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-09 | 10,855 | $0.00 | 10,855 | $13.01 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-09 | 6,488 | $0.00 | 6,488 | $20.27 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-03-09 | 1,931 | $0.00 | 1,931 | $25.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,909 | 2027-06-08 | No | 4 | M | Direct | |
| 2,824 | 2027-07-13 | No | 4 | M | Direct | |
| 39,683 | 2028-03-08 | No | 4 | M | Direct | |
| 45,834 | 2029-01-10 | No | 4 | M | Direct | |
| 73,355 | 2029-01-10 | No | 4 | M | Direct | |
| 9,185 | 2028-03-08 | No | 4 | M | Direct | |
| 15,625 | 2029-01-10 | No | 4 | M | Direct | |
| 36,630 | 2028-03-08 | No | 4 | M | Direct | |
| 62,500 | 2029-01-10 | No | 4 | M | Direct | |
| 52,084 | 2029-04-11 | No | 4 | M | Direct | |
| 37,500 | 2030-03-26 | No | 4 | M | Direct |
Footnotes
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.79 to $93.74 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.06 to $94.91 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.62 to $96.60 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.65 to $97.63 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.80 to $98.425 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.16 to $100.99 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.298 to $101.70 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.
- Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting March 9, 2019.
- Each RSU represents a contingent right to receive one share of the common stock of the issuer.
- Represents the partial vesting and settlement of RSUs, starting on September 19, 2019.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.95 to $99.95 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.97 to $100.14 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.
- The sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs pursuant to Rule 10b5-1.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.31 to $97.6342 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.
- The option shares vest over four years. 25% of the option shares vested and became exercisable on March 21, 2018 and the remaining shares vest in 36 equal monthly installments thereafter.
- The option shares vest over four years. 25% of the option shares vested and became exercisable on March 12, 2018 and the remaining shares vest in 36 equal monthly installments thereafter.
- The option shares vest over four years. 25% of the option shares vested and became exercisable on March 9, 2019 and the remaining shares vest in 36 equal monthly installments thereafter.
- The option shares vest over four years. 25% of the option shares vested and became exercisable on January 2, 2020 and the remaining shares vest in 36 equal monthly installments thereafter.
- This option becomes exercisable, if at all, upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Reporting Person achieving certain milestones relating to the Issuer's stock price. As of December 18, 2020, the criteria was satisfied with respect to 18,750 additional shares.
- The RSUs vest over four years. 25% of the RSUs vested on March 9, 2019 and the remaining shares vest in 12 equal quarterly installments thereafter.
- On January 11, 2019, the Reporting Person was granted RSUs covering 100,000 shares of common stock, which vests in tranches upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Reporting Person achieving certain milestones relating to the Issuer's stock price. On March 9, 2021, the criteria was satisfied for the vesting of RSUs covering 15,625 shares of common stock.
- This option becomes exercisable, if at all, upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Reporting Person achieving certain milestones relating to the Issuer's stock price. As of March 9, 2021, the criteria was satisfied with respect to 31,250 additional shares.
- The option shares vest over four years. 25% of the option shares vested and became exercisable on March 22, 2020 and the remaining shares vest in 36 equal monthly installments thereafter.
- The option becomes exercisable, if at all, upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Reporting Person achieving certain milestones relating to the Issuer's stock price. As of October 1, 2020, the criteria was satisfied with respect to 37,500 shares.
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