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

Role
Director
Signature
/s/ Tami Chen
Issuer symbol
NTRA
Transactions as of
28 May 2021
Net transactions value
$0
Form type
4
Filing time
02 Jun 2021, 20:05:06 UTC
Previous filing
14 Jun 2021
Next filing
23 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRA Common Stock Options Exercise +2,856 +9.6% 32,472 28 May 2021 Direct F1
holding NTRA Common Stock 1,550,280 28 May 2021 by Sofinnova Venture Partners VIII, L.P. F2
holding NTRA Common Stock 1,550,280 28 May 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 -2,856 -100% $0.000000* 0 28 May 2021 Common Stock 2,856 Direct F1, F3
transaction NTRA Restricted Stock Unit Award $0 +1,307 $0.000000 1,307 28 May 2021 Common Stock 1,307 Direct F1, F4
transaction NTRA Stock Option (right to buy) Award $0 +2,614 $0.000000 2,614 28 May 2021 Common Stock 2,614 $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.