# EDGAR Filing Document

**Accession Number:** 0001604821
**File Stem:** 0001104659-23-024599
**Filing Date:** 2023-2
**Character Count:** 8108
**Document Hash:** 9f139b1215bba9913473abe34516d3a6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-024599.hdr.sgml**: 20230223

**ACCESSION NUMBER**: 0001104659-23-024599

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230217

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230223

**DATE AS OF CHANGE**: 20230223

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37478
- **FILM NUMBER:** 23657404

**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

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K** 

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of**

**the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported): February 17, 2023**

**Natera, Inc.** 

**(Exact name of registrant as specified in its charter)** 

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| | | |
|:---|:---|:---|
| **Delaware** | **001-37478** | **01-0894487** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)**  |

---

**13011 McCallen Pass Building A Suite 100** 

**Austin, TX 78753**

**(Address of principal executive offices, including zip code)** 

**(650) 980-9190**

**(Registrant's telephone number, including area code)** 

**N/A**

**(Former name or former address, if changed since last report)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

◻ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

◻ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

◻ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

◻ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered  |
| Common Stock, par value $0.0001 per share | NTRA | Nasdaq Stock Market LLC<br> (Nasdaq Global Select Market) |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ◻

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

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| | |
|:---|:---|
| **Item 5.02.** | **Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.** |

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(d) The Board of Directors (the "Board") of Natera, Inc., a Delaware corporation (the "Company"), based on the recommendation of the Board's Nominating and Corporate Governance Committee, (i) increased the size of the full Board from nine to ten members and (ii) appointed Ruth Williams-Brinkley as a member of the Board, in each case effective as of March 2, 2023.

Ms. Williams-Brinkley will serve as a Class I director, with an initial term expiring at the 2025 annual meeting of stockholders. There is no arrangement or understanding between Ms. Williams-Brinkley and any other persons pursuant to which Ms. Williams-Brinkley was elected as a director.

The Board determined that Ms. Williams-Brinkley qualifies as an independent director pursuant to the Securities Act of 1933, as amended, and the listing standards of the Nasdaq Stock Market. The Board has appointed Ms. Williams-Brinkley to the Compensation Committee of the Board.

In connection with her appointment to the Board, Ms. Williams-Brinkley will be entitled to receive cash and equity compensation consistent with that of the Company's other non-employee directors. Such compensation is described in the Company's Amended and Restated Compensation Program for Non-Employee Directors filed with the Securities and Exchange Commission (the "SEC") on March 14, 2022 as Exhibit 10.1 to the Company's Current Report on Form 8-K. The Company's form Notice of Stock Option Grant and form Stock Option Agreement were filed with the SEC on March 24, 2016 as Exhibit 10.2 to the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2015.

The Company also will enter into an Indemnification Agreement with Ms. Williams-Brinkley, providing for indemnification and advancement of litigation and other expenses to Ms. Williams-Brinkley to the fullest extent permitted by law for claims relating to her service to the Company or its subsidiaries. The Company's form of indemnification agreement was filed with the SEC on March 16, 2017 as Exhibit 10.4 to the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2016.

There are no family relationships between Ms. Williams-Brinkley and any of the Company's directors or executive officers and Ms. Williams-Brinkley does not have any direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.

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| | |
|:---|:---|
| **Item 9.01.** | **Financial Statements and Exhibits.** |

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(d) Exhibits.

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| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| [10.1](https://www.sec.gov/Archives/edgar/data/1604821/000110465922033098/tm229163d1_ex10-1.htm) | [Natera, Inc. Amended and Restated Compensation Program for Non-Employee Directors (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed with the SEC on March 14, 2022).](https://www.sec.gov/Archives/edgar/data/1604821/000110465922033098/tm229163d1_ex10-1.htm) |
| [10.2](https://www.sec.gov/Archives/edgar/data/1604821/000155837016004339/ntra-20151231ex102c335bc.htm) | [2015 Equity Incentive Plan and forms of agreements thereunder (incorporated by reference to Exhibit 10.2 to the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2015 filed with the SEC on March 24, 2016).](https://www.sec.gov/Archives/edgar/data/1604821/000155837016004339/ntra-20151231ex102c335bc.htm) |
| [10.3](https://www.sec.gov/Archives/edgar/data/1604821/000155837017001890/ntra-20161231ex1041b2197.htm) | [Form of Indemnification Agreement (incorporated by reference to Exhibit 10.4 to the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2016 filed with the SEC on March 16, 2017).](https://www.sec.gov/Archives/edgar/data/1604821/000155837017001890/ntra-20161231ex1041b2197.htm) |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL). |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | |
|:---|:---|
| Natera, Inc. | Natera, Inc. |
| By: | */s/ Michael Brophy* |
|  | Michael Brophy |
|  | Chief Financial Officer (Principal Financial and Accounting Officer) |

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Dated: February 23, 2023