| Accession Number: | 0001179110-20-007509 |
| Date: | 2020-06-15 |
| Issuer: | NATERA, INC. (NTRA) |
| Original Submission Date: |
CHAPMAN STEVEN LEONARD
C/O NATERA, INC., 201 INDUSTRIAL ROAD
SUITE 410
SAN CARLOS, CA 94070
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2020-06-15 | M | 559 | a | $10.41 | 26,433 | direct | ||
| COMMON STOCK | 2020-06-15 | M | 521 | a | $10.73 | 26,954 | direct | ||
| COMMON STOCK | 2020-06-15 | M | 1,042 | a | $13.01 | 27,996 | direct | ||
| COMMON STOCK | 2020-06-15 | M | 1,526 | a | $9.29 | 29,522 | direct | ||
| COMMON STOCK | 2020-06-15 | M | 521 | a | $20.27 | 30,043 | direct | ||
| COMMON STOCK | 2020-06-15 | S | 3,782 | d | $40.59 | 26,261 | direct | ||
| COMMON STOCK | 2020-06-15 | S | 675 | d | $41.36 | 25,586 | direct | ||
| COMMON STOCK | 2020-06-16 | M | 559 | a | $10.41 | 26,145 | direct | ||
| COMMON STOCK | 2020-06-16 | M | 521 | a | $10.73 | 26,666 | direct | ||
| COMMON STOCK | 2020-06-16 | M | 1,042 | a | $13.01 | 27,708 | direct | ||
| COMMON STOCK | 2020-06-16 | M | 1,526 | a | $9.29 | 29,234 | direct | ||
| COMMON STOCK | 2020-06-16 | M | 521 | a | $20.27 | 29,755 | direct | ||
| COMMON STOCK | 2020-06-16 | S | 4,457 | d | $45.00 | 25,298 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY) | 10.41 | 2020-06-15 | deemed execution date | M | 559 (d) | 2027-06-08 | common stock 559 | $10.41 | 32,957 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 10.73 | 2020-06-15 | deemed execution date | M | 521 (d) | 2027-07-13 | common stock 521 | $10.73 | 15,104 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 13.01 | 2020-06-15 | deemed execution date | M | 1,042 (d) | 2029-01-10 | common stock 1,042 | $13.01 | 73,958 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 9.29 | 2020-06-15 | deemed execution date | M | 1,526 (d) | 2028-03-08 | common stock 1,526 | $9.29 | 80,892 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 20.27 | 2020-06-15 | deemed execution date | M | 521 (d) | 2029-04-11 | common stock 521 | $20.27 | 99,479 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 10.41 | 2020-06-16 | deemed execution date | M | 559 (d) | 2027-06-08 | common stock 559 | $10.41 | 32,398 | direct | ||
| COMMON STOCK (RIGHT TO BUY) | 10.73 | 2020-06-16 | deemed execution date | M | 521 (d) | 2017-07-13 | common stock 521 | $10.73 | 14,583 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 13.01 | 2020-06-16 | deemed execution date | M | 1,042 (d) | 2029-01-10 | common stock 1,042 | $13.01 | 72,916 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 9.29 | 2020-06-16 | deemed execution date | M | 1,526 (d) | 2028-03-08 | common stock 1,526 | $9.29 | 79,366 | direct | ||
| STOCK OPTION (RIGHT TO BUY) | 20.27 | 2020-06-16 | deemed execution date | M | 521 (d) | 2019-04-11 | common stock 521 | $20.27 | 98,985 | direct |
| ID | footnote |
|---|---|
| f1 | the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on may 15, 2020. |
| f2 | the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $40.00 to $40.99 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. |
| f3 | the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $41.315 to $41.47 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. |
| f4 | 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. |
| f5 | 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. |
| f6 | 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. |
| f7 | 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. |
| f8 | 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. |
