Chapman Steven Leonard's Form 4 filing
Natera, Inc. (NTRA) · filed Sep 10, 2021
- Accession no.
- 0001415889-21-004361
- Filed
- Sep 10, 2021
- Trade date
- Sep 9-10, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 18 non-derivative transactions and 9 derivative transactions. Open-market sales total $10.9M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Chapman Steven LeonardCIK 0001711968 | Director, Officer (CEO AND PRESIDENT) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 9, 2021 | Common Stock | MOption exerciseAcquired | +2,296 | –F2 | – | 54,219 | Direct | |
| Sep 9, 2021 | Common Stock | MOption exerciseAcquired | +15,625 | –F2 | – | 69,844 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −9,002 | $119.53 | −$1,076,009.06 | 60,842 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +25 | $10.73 | +$268.25 | 60,867 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +8,337 | $9.29 | +$77,450.73 | 69,204 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +5,325 | $13.01 | +$69,278.25 | 74,529 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +38,867 | $13.01 | +$505,659.67 | 113,396 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +5,325 | $20.27 | +$107,937.75 | 118,721 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +4,570 | $25.46 | +$116,352.2 | 123,291 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +9,375 | $25.46 | +$238,687.5 | 132,666 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −7,430 | $118.10F7 | −$877,483 | 125,236 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −14,609 | $118.96F8 | −$1,737,886.64 | 110,627 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −42,022 | $120.12F9 | −$5,047,682.64 | 68,605 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −7,763 | $120.76F10 | −$937,459.88 | 60,842 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −1,707 | $118.18F13 | −$201,733.26 | 21,331 | Indirect | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −2,319 | $119.03F15 | −$276,030.57 | 19,012 | Indirect | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −5,989 | $120.28F16 | −$720,356.92 | 13,023 | Indirect | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −127 | $120.84F17 | −$15,346.68 | 12,896 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 9, 2021 | Common Stock | MOption exerciseDisposed | −2,296 | $0.00 | $0 | 4,593 | Direct | |
| Sep 9, 2021 | Common Stock | MOption exerciseDisposed | −15,625 | $0.00 | $0 | 0 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −38,867 | $0.00 | $0 | 0 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −25 | $0.00 | $0 | 0 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −8,337 | $0.00 | $0 | 18,315 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −5,325 | $0.00 | $0 | 33,334 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −5,325 | $0.00 | $0 | 39,584 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −4,570 | $0.00 | $0 | 18,750 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −9,375 | $0.00 | $0 | 18,750 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
Referenced by the price of 2 transactions in Table I.
- F7
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.5050 to $118.50 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F8
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.52 to $119.41 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F9
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.60 to $120.58 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F10
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.60 to $121.07 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F13
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.63 to $118.64 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F15
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.6550 to $119.5250 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F16
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.83 to $120.82 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F17
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.83 to $120.8550 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.