Rosenman Herm's Form 4/A amendment
AmendedNatera, Inc. (NTRA) · filed Nov 9, 2021
- Accession no.
- 0001415889-21-005123
- Filed
- Nov 9, 2021
- Trade date
- Nov 8, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 9, 2021
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.22M. It was filed 1 day after the trade.
This amendment replaces 0001415889-21-005106 (filed Nov 9, 2021).
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 |
|---|---|
| Rosenman HermCIK 0001230057 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2021 | Common Stock | MOption exerciseAcquired | +44,503 | $2.66 | +$118,377.98 | 95,778 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −39,171 | $117.13F1,F2 | −$4,588,099.23 | 56,607 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −2,100 | $118.79F3 | −$249,459 | 54,507 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −2,832 | $119.62F4 | −$338,763.84 | 51,675 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −400 | $120.24F5 | −$48,096 | 51,275 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2021 | Common Stock | MOption exerciseDisposed | −44,503 | $0.00 | $0 | 93,901 | 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.
- F1
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.00 to $117.92 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.
- F2
The prior Form 4 report filed on November 9, 2021 inaccurately reflected $17.1273 as the weighted average sales price instead of $117.1273.
Referenced by the price of 1 transaction in Table I.
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.12 to $119.0250 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.
- F4
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.16 to $120.11 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.
- F5
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.19 to $120.31 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.
- F6
The option shares are fully vested and may be exercised at any time.