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Natera, Inc. — Director's Dealing 2016
Oct 7, 2016
30253_dirs_2016-10-07_9ce13a11-1262-4489-aa67-b85be4cbe2a3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Natera, Inc. (NTRA)
CIK: 0001604821
Period of Report: 2016-10-06
Reporting Person: ROSENMAN HERM (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-10-06 | Common Stock | M | 5000 | — | Acquired | 22051 | Direct |
| 2016-10-06 | Common Stock | S | 1773 | $11.5306 | Disposed | 20278 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-10-06 | Restricted Stock Units | $ | M | 5000 | Disposed | Common Stock (5000) | Direct |
Footnotes
F1: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.
F2: Each RSU represents a contingent right to receive one share of the common stock of the issuer.
F3: The sale of shares was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 31, 2016.
F4: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $11.53 to $11.5909 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.