# EDGAR Filing Document

**Accession Number:** 0001597341
**File Stem:** 0001415889-23-001421
**Filing Date:** 2023-1
**Character Count:** 7598
**Document Hash:** d2cfabcc5ad7235d36c8cc04c490d9cd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-23-001421.hdr.sgml**: 20230124

**ACCESSION NUMBER**: 0001415889-23-001421

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230120

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230124

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Schueren Robert Alan
- **CENTRAL INDEX KEY:** 0001597341

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37478
- **FILM NUMBER:** 23549453

**MAIL ADDRESS:**
- **STREET 1:** 7400 PASEO PADRE PARKWAY
- **CITY:** FREMONT
- **STATE:** CA
- **ZIP:** 94555
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Natera, Inc.
- **CENTRAL INDEX KEY:** 0001604821
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MEDICAL LABORATORIES [8071]
- **IRS NUMBER:** 010894487
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 13011 MCCALLEN PASS
- **STREET 2:** BUILDING A SUITE 100
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78753
- **BUSINESS PHONE:** 650-249-9090

**MAIL ADDRESS:**
- **STREET 1:** 13011 MCCALLEN PASS
- **STREET 2:** BUILDING A SUITE 100
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78753

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Schueren Robert Alan<br><sub>(Last) (First) (Middle)</sub><br>C/O NATERA, INC.<br>13011 MCCALLEN PASS BUILDING A SUITE 100<br><sub>(Street)</sub><br>AUSTIN, TX 78753<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CHIEF OPERATING OFFICER_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Natera, Inc. [ NTRA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-20 |  | M |  | 6087 | A | <sup>(1)</sup> | 6087<sup>(2)</sup> | D |  |
| Common Stock | 2023-01-21 |  | M |  | 1145 | A | <sup>(1)</sup> | 7232 | D |  |
| Common Stock | 2023-01-22 |  | M |  | 1250 | A | <sup>(1)</sup> | 8482 | D |  |
| Common Stock | 2023-01-23 |  | S |  | 4256<sup>(3)</sup> | D | $41.5597 | 4226 | D |  |
| Common Stock | 2023-01-12 |  | G |  | 1100<sup>(4)</sup> | D | $0 | 114141 | I | By Robert A Schueren & Deborah A Schueren Rev Trust<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit | <sup>(1)</sup> | 2023-01-20 |  | M |  |  | 6087 | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 6087 | $0 | 18261 | D |  |
| Restricted Stock Unit | <sup>(1)</sup> | 2023-01-21 |  | M |  |  | 1145 | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 1145 | $0 | 9161 | D |  |
| Restricted Stock Unit | <sup>(1)</sup> | 2023-01-22 |  | M |  |  | 1250 | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock | 1250 | $0 | 13750 | D |  |

---

### Footnotes:

(1) Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

(2) Excludes 11,824 shares previously reported as owned directly which have been transferred to the Robert A Schueren & Deborah A Schueren Rev Trust.

(3) The sale of shares was effected in order to satisfy tax withholding and remittance obligations in connection with the vesting of RSUs and in compliance with Rule 10b5-1.

(4) Represents a charitable contribution by the Reporting Person.

(5) The Reporting Person is a trustee of the Robert A Schueren & Deborah A Schueren Rev Trust and has voting and dispositive power with respect to the reported shares. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein.

(6) The RSUs vest over four years. 25% of the RSUs vested on January 20, 2023 and the remaining shares vest in 12 equal quarterly installments thereafter.

(7) The RSUs vest over four years. 25% of the RSUs vested on January 21, 2022 and the remaining shares vest in 12 equal quarterly installments thereafter

(8) The RSUs vest over four years. 25% of the RSUs vested on October 22, 2022 and the remaining shares vest in 12 equal quarterly installments thereafter.

**Signature:** /s/ Tami Chen, Attorney-in-Fact  
**Date:** 2023-01-24

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**