Form 4 for NTRA Natera, Inc.
Accepted 2021-07-07 00:00:00 ET · period of report 2021-07-02 · accession 0001415889-21-003550 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-07 | 2021-07-02+ | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | M - OptEx | $16.43 | +32.8K | 105.8K | +45% | +$538.9K |
| DM | 2021-07-07 | 2021-07-06+ | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | S - Sale+OE | $117.18 | -32.5K | 99.8K | -25% | -$3.80M |
| DM | 2021-07-07 | 2021-07-02+ | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | M - OptEx | $0.00 | -32.8K | 50 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-06 | M | A | 2,370 | $20.27 | 100,919 | D | — | — | |
| 2 | Common | Common Stock | 2021-07-06 | M | A | 8,203 | $13.01 | 98,549 | D | — | — | |
| 3 | Common | Common Stock | 2021-07-06 | M | A | 2,370 | $13.01 | 90,346 | D | — | — | |
| 4 | Common | Common Stock | 2021-07-02 | M | A | 3,125 | — | 77,755 | D | — | — | (F1) Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") starting January 2, 2020. (F2) Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. |
| 5 | Common | Common Stock | 2021-07-02 | M | A | 9,375 | — | 87,130 | D | — | — | (F3) Represents the partial vesting and settlement of RSUs starting October 1, 2020. (F2) Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. |
| 6 | Common | Common Stock | 2021-07-06 | S | D | 1,558 | $118.59 | 85,572 | D | — | — | |
| 7 | Common | Common Stock | 2021-07-06 | S | D | 13,543 | $117.13 | 86,280 | D | — | — | (F7) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.76 to $117.6150 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. |
| 8 | Common | Common Stock | 2021-07-06 | S | D | 708 | $118.37 | 85,572 | D | — | — | (F8) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.82 to $118.59 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. |
| 9 | Common | Common Stock | 2021-07-06 | S | D | 2,835 | $116.59 | 82,737 | D | — | — | (F9) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.91 to $116.90 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. |
| 10 | Common | Common Stock | 2021-07-06 | S | D | 3,126 | $117.24 | 79,611 | D | — | — | (F10) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.97 to $117.57 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. |
| 11 | Common | Common Stock | 2021-07-06 | S | D | 17 | $118.59 | 79,594 | D | — | — | |
| 12 | Common | Common Stock | 2021-07-07 | S | D | 4,633 | $117.98 | 74,961 | D | — | — | |
| 13 | Common | Common Stock | 2021-07-06 | M | A | 2,404 | $9.29 | 87,976 | D | — | — | |
| 14 | Common | Common Stock | 2021-07-06 | S | D | 6,045 | $116.43 | 99,823 | D | — | — | (F6) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.75 to $116.74 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. |
| 15 | Common | Common Stock | 2021-07-06 | M | A | 27 | $10.73 | 105,868 | D | — | — | |
| 16 | Common | Common Stock | 2021-07-06 | M | A | 4,922 | $25.46 | 105,841 | D | — | — | |
| 17 | Derivative | Stock Option (right to buy) | 2021-07-06 | M | D | 4,922 | $0.00 | 27,890 | D | $25.46 · — to 2030-03-26 | 4,922 Common Stock | (F17) The option vests 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 June 3, 2021, the Company's Board of Director determined the performance criteria had been met with respect to 18,750 additional shares. |
| 18 | Derivative | Stock Option (right to buy) | 2021-07-06 | M | D | 2,370 | $0.00 | 48,151 | D | $20.27 · — to 2029-04-11 | 2,370 Common Stock | (F16) 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. |
| 19 | Derivative | Stock Option (right to buy) | 2021-07-06 | M | D | 8,203 | $0.00 | 46,484 | D | $13.01 · — to 2029-01-10 | 8,203 Common Stock | (F15) This option vested and became exercisable 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. |
| 20 | Derivative | Stock Option (right to buy) | 2021-07-06 | M | D | 2,370 | $0.00 | 41,901 | D | $13.01 · — to 2029-01-10 | 2,370 Common Stock | (F14) 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. |
| 21 | Derivative | Stock Option (right to buy) | 2021-07-06 | M | D | 2,404 | $0.00 | 31,937 | D | $9.29 · — to 2028-03-08 | 2,404 Common Stock | (F13) 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. |
| 22 | Derivative | Restricted Stock Unit | 2021-07-02 | M | D | 9,375 | $0.00 | 9,375 | D | — · — to — | 9,375 Common Stock | (F2) Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. (F12) On March 27, 2020, the Reporting Person was granted a RSU, which vests in three tranches upon the Reporting Person achieving certain milestones relating to a combination of the passage of time and the Issuer's stock price. On July 2, 2021, the Issuer's Board of Directors determined that the milestone for the second tranche was satisfied, resulting in the vesting of the reported shares of common stock under the RSU. |
| 23 | Derivative | Restricted Stock Unit | 2021-07-02 | M | D | 3,125 | $0.00 | 18,750 | D | — · — to — | 3,125 Common Stock | (F2) Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. (F11) The RSUs vest over four years. 25% of the RSUs vested on January 2, 2020 and the remaining shares vest in 12 equal quarterly installments thereafter. |
| 24 | Derivative | Stock Option (right to buy) | 2021-07-06 | M | D | 27 | $0.00 | 50 | D | $10.73 · — to 2027-07-13 | 27 Common Stock | (F18) The option shares are fully vested and may be exercised at any time. |