Sec Form 4 Filing - Chapman Steven Leonard @ Natera, Inc. - 2018-06-21

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Chapman Steven Leonard
2. Issuer Name and Ticker or Trading Symbol
Natera, Inc. [ NTRA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Operating Officer
(Last) (First) (Middle)
C/O NATERA, INC., 201 INDUSTRIAL ROAD, SUITE 410
3. Date of Earliest Transaction (MM/DD/YY)
06/21/2018
(Street)
SAN CARLOS, CA94070
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/21/2018 M 1,117 ( 1 ) A 3,588 D
Common Stock 06/22/2018 S( 3 ) 381 D $ 13.95 3,207 D
Common Stock 06/25/2018 M 9,585 A $ 2.6569 12,792 D
Common Stock 06/25/2018 M 9,586 A $ 3.7816 22,738 D
Common Stock 06/25/2018 M 20,130 A $ 7.4491 42,508 D
Common Stock 06/25/2018 M 23,965 A $ 1.41 66,473 D
Common Stock 06/25/2018 M 14,067 A $ 2.6569 80,540 D
Common Stock 06/25/2018 M 9,586 A $ 3.7816 90,126 D
Common Stock 06/25/2018 S( 4 ) 86,919 D $ 18 3,207 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Unit ( 2 ) 06/21/2018 M 1,117 ( 5 ) ( 5 ) Common Stock 1,117 $ 0 12,290 D
Stock Option (right to buy) $ 2.6569 06/25/2018 M 9,585 ( 6 ) 02/24/2024 Common Stock 9,585 $ 0 4,474 D
Stock Option (right to buy) $ 3.7816 06/25/2018 M 9,586 ( 7 ) 09/17/2024 Common Stock 9,586 $ 0 10,225 D
Stock Option (right to buy) $ 7.4491 06/25/2018 M 20,130 ( 8 ) 03/25/2025 Common Stock 20,130 $ 0 25,882 D
Stock Option (right to buy) $ 1.141 06/25/2018 M 23,965 ( 9 ) 05/16/2022 Common Stock 23,965 $ 0 0 D
Stock Option (right to buy) $ 2.6569 06/25/2018 M 14,067 ( 10 ) 02/24/2024 Common Stock 14,067 $ 0 13,421 D
Stock Option (right to buy) $ 3.7816 06/25/2018 M 9,586 ( 11 ) 09/17/2024 Common Stock 9,586 $ 0 11,503 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Chapman Steven Leonard
C/O NATERA, INC., 201 INDUSTRIAL ROAD
SUITE 410
SAN CARLOS, CA94070
Chief Operating Officer
Signatures
/s/ Tami Chen, attorney-in-fact 06/25/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents the partial vesting and settlement of Restricted Stock Units ("RSUs"), starting March 21, 2018.
( 2 )Each RSU represents a contingent right to receive one share of the common stock of the issuer.
( 3 )The sale of shares was effected in order to satisfy tax liabilities due at the time of vesting.
( 4 )The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29,2016.
( 5 )The RSUs vest over four years. 25% of the RSUs vest on March 21, 2018 and the remaining shares vest in 12 equal quarterly installments thereafter.
( 6 )The option shares vest over four years. 25% of the option shares vest and become exercisable on June 1, 2014 and the remaining shares vest in 36 equal monthly installments thereafter.
( 7 )The option shares vest over four years. 25% of the option shares vest and become exercisable on March 1, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
( 8 )The option shares vest over four years. 25% of the option shares vest and become exercisable on February 16, 2016 and the remaining shares vest in 36 equal monthly installments thereafter.
( 9 )The option shares are 100% vested and exercisable.
( 10 )The option shares vest over four years. 25% of the option shares vest and become exercisable on January 15, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
( 11 )The option shares vest over four years. 25% of the option shares vest and become exercisable on May 1, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.

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