James Healy - May 28, 2021 Form 4 Insider Report for Natera, Inc. (NTRA)

Role
Director
Signature
/s/ Tami Chen
Stock symbol
NTRA
Transactions as of
May 28, 2021
Transactions value $
$0
Form type
4
Date filed
6/2/2021, 08:05 PM
Previous filing
Jun 14, 2021
Next filing
Jun 23, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRA Common Stock Options Exercise +2.86K +9.64% 32.5K May 28, 2021 Direct F1
holding NTRA Common Stock 1.55M May 28, 2021 by Sofinnova Venture Partners VIII, L.P. F2
holding NTRA Common Stock 1.55M May 28, 2021 by Sofinnova Venture Partners IX, L.P. F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NTRA Restricted Stock Unit Options Exercise $0 -2.86K -100% $0.00* 0 May 28, 2021 Common Stock 2.86K Direct F1, F3
transaction NTRA Restricted Stock Unit Award $0 +1.31K $0.00 1.31K May 28, 2021 Common Stock 1.31K Direct F1, F4
transaction NTRA Stock Option (right to buy) Award $0 +2.61K $0.00 2.61K May 28, 2021 Common Stock 2.61K $94.14 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
F2 Mr. Healy is a managing member of each of Sofinnova Management VIII, L.L.C. ("Sofinnova Management VIII") and Sofinnova Management IX, L.L.C. ("Sofinnova Management IX"). Sofinnova Management VIII is the general partner of Sofinnova Venture Partners VIII, L.P., and Sofinnova Management IX is the general partner of Sofinnova Venture Partners IX, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
F3 The RSU vested in full on May 28, 2021.
F4 The RSU shall vest in full on May 25, 2022. The RSU will become fully vested in the event that the Issuer is subject to a change in control.
F5 The option shares shall vest and become exercisable in full on May 25, 2022. The option shares will become fully vested and exercisable in the event that the Issuer is subject to a change in control.