Form Type: 4

SEC EDGAR Link
Accession Number:0001415889-23-000762
Date:2023-01-07
Issuer: NATERA, INC. (NTRA)
Original Submission Date:

Reporting Person:

SCHUEREN ROBERT ALAN
C/O NATERA, INC.
13011 MCCALLEN PASS BUILDING A SUITE 100 AUSTIN, TX 78753

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-01-07 M 3,985 a $0.00 10,130 direct
COMMON STOCK 2023-01-09 S 2,244 d $37.62 7,886 direct
COMMON STOCK 2023-01-10 M 3,938 a $13.01 11,824 direct
COMMON STOCK 2023-01-07 0 $0.00 103,417 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
RESTRICTED STOCK UNIT 0.0 2023-01-07 deemed execution date M 3,985 (d) common stock 3,985 $0.00 0 direct
STOCK OPTION (RIGHT TO BUY) 13.01 2023-01-10 deemed execution date M 3,938 (d) 2029-01-10 common stock 3,938 $13.01 38,134 direct
Footnotes
IDfootnote
f1 each restricted stock unit ("rsu") represents a contingent right to receive one share of the issuer's common stock.
f2 the sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of rsus and in compliance with rule 10b5-1.
f3 the reporting person is a trustee of the robert a schueren & deborah a schueren rev trust and has voting and dispositive power with respect to the reported shares. the reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein.
f4 the rsus vest over four years. 25% of the rsus vested on january 7, 2020 and the remaining shares vest in 12 equal quarterly installments thereafter.
f5 the option shares vest over four years. 25% of the option shares vested and became exercisable on january 7, 2020 and the remaining shares vest in 36 equal monthly installments thereafter.
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