Form 4 for NTRA Natera, Inc.
Accepted 2021-10-05 00:00:00 ET · period of report 2021-10-02 · accession 0001415889-21-004764 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-10-05 | 2021-10-04 | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | S - Sale+OE | $107.60 | -12.9K | 6,673 | -66% | -$1.39M |
| DM | 2021-10-05 | 2021-10-04+ | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | S - Sale+OE | $109.09 | -8,261 | 39.0K | -17% | -$901.2K |
| DM | 2021-10-05 | 2021-10-02+ | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | M - OptEx | $16.64 | +7,293 | 42.9K | +20% | +$121.4K |
| DM | 2021-10-05 | 2021-10-02+ | NTRA | Chapman Steven Leonard | CEO AND Pres, Dir | M - OptEx | $0.00 | -7,293 | 15.6K | -32% | $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 | 2021-10-04 | S | D | 1,084 | $105.88 | 11,812 | I by Rosewood Trust | — | — | (F9) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. (F10) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.39 to $106.2450 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. (F11) The Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 2 | Common | Common Stock | 2021-10-04 | S | D | 258 | $111.54 | 38,711 | D | — | — | (F5) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021, as amended on May 14, 2021 |
| 3 | Common | Common Stock | 2021-10-02 | M | A | 3,125 | — | 41,196 | D | — | — | (F1) Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. |
| 4 | Common | Common Stock | 2021-10-04 | S | D | 1,831 | $108.20 | 39,365 | D | — | — | (F2) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 24, 2021. (F3) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.59 to $108.57 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. |
| 5 | Common | Common Stock | 2021-10-04 | S | D | 500 | $109.26 | 38,865 | D | — | — | (F2) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 24, 2021. (F4) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.05 to $109.60 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. |
| 6 | Common | Common Stock | 2021-10-04 | S | D | 154 | $111.54 | 38,711 | D | — | — | (F2) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 24, 2021. |
| 7 | Common | Common Stock | 2021-10-04 | S | D | 4,966 | $108.07 | 1,707 | I by Rosewood Trust | — | — | (F9) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. (F13) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.5550 to $108.52 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. (F11) The Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 8 | Common | Common Stock | 2021-10-04 | S | D | 1,239 | $108.81 | 468 | I by Rosewood Trust | — | — | (F9) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. (F14) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.5950 to $109.14 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. (F11) The Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 9 | Common | Common Stock | 2021-10-04 | S | D | 431 | $110.23 | 37 | I by Rosewood Trust | — | — | (F9) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. (F15) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.6250 to $110.47 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. (F11) The Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 10 | Common | Common Stock | 2021-10-04 | S | D | 37 | $111.54 | 0 | I by Rosewood Trust | — | — | (F9) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. (F11) The Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 11 | Common | Common Stock | 2021-10-05 | S | D | 1,608 | $110.91 | 37,103 | D | — | — | (F16) The sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs in compliance with Rule 10b5-1. |
| 12 | Common | Common Stock | 2021-10-04 | M | A | 2,084 | $13.01 | 40,795 | D | — | — | |
| 13 | Common | Common Stock | 2021-10-04 | M | A | 2,084 | $20.27 | 42,879 | D | — | — | |
| 14 | Common | Common Stock | 2021-10-04 | S | D | 1,784 | $107.89 | 41,095 | D | — | — | (F5) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021, as amended on May 14, 2021 (F6) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.48 to $108.42 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 | 2021-10-04 | S | D | 1,870 | $108.81 | 39,225 | D | — | — | (F5) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021, as amended on May 14, 2021 (F7) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.49 to $109.23 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. |
| 16 | Common | Common Stock | 2021-10-04 | S | D | 256 | $110.24 | 38,969 | D | — | — | (F5) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021, as amended on May 14, 2021 (F8) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.15 to $110.65 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. |
| 17 | Common | Common Stock | 2021-10-04 | S | D | 5,139 | $106.97 | 6,673 | I by Rosewood Trust | — | — | (F9) The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Rosewood Trust on August 13, 2021. (F12) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.4550 to $107.43 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. (F11) The Rosewood Trust is an irrevocable spendthrift trust for the benefit of the Reporting Person and other discretionary beneficiaries, pursuant to Nevada Revised Statutes Chapter 166. Under the Rosewood Trust, the Reporting Person has no enforceable rights to distributions. The Rosewood Trust is a fully discretionary trust and the distribution decisions for the Rosewood Trust are vested in a committee. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 18 | Derivative | Stock Option (right to buy) | 2021-10-04 | M | D | 2,084 | $0.00 | 37,500 | D | $20.27 · — to 2029-04-11 | 2,084 Common Stock | (F19) 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) | 2021-10-04 | M | D | 2,084 | $0.00 | 31,250 | D | $13.01 · — to 2029-01-10 | 2,084 Common Stock | (F18) 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. |
| 20 | Derivative | Restricted Stock Unit | 2021-10-02 | M | D | 3,125 | $0.00 | 15,625 | D | — · — to — | 3,125 Common Stock | (F1) Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. (F17) 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. |