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Nasdaq · USD

NTRA

Natera, Inc.

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2635
SEC CIK
0001604821
Parsed reports
1,197

Last 12 months

Inside the activity.

0 purchase rows · 457 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025047
Dec 2025021
Jan 2026041
Feb 2026021
Mar 2026054
Apr 2026029
May 2026033
Jun 2026068
Jul 2026047
Aug 2026033
Sep 2026059
Oct 202604

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 29, 2016 Filed Dec 2, 2016 00:00 UTC
Rabinowitz MatthewDirector · Chief Executive Officer
SaleCommon Stock 16,165 $12.01 $194,085.07
Disclosure

SEC source: 0001179110-16-032288 · edgar.xml · nonDerivative · entry 1

Rabinowitz Matthew · CIK 0001646382 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,942,572

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12.00 to $12.06 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 28, 2016 Filed Nov 29, 2016 00:48 UTC
Rabinowitz MatthewDirector · Chief Executive Officer
SaleCommon Stock 31,731 $12.04 $382,079.32
Disclosure

SEC source: 0001179110-16-032157 · edgar.xml · nonDerivative · entry 3

Rabinowitz Matthew · CIK 0001646382 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,958,737

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F4 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12.00 to $12.21 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 25, 2016 Filed Nov 29, 2016 00:48 UTC
Rabinowitz MatthewDirector · Chief Executive Officer
SaleCommon Stock 30,408 $12.14 $369,131.83
Disclosure

SEC source: 0001179110-16-032157 · edgar.xml · nonDerivative · entry 2

Rabinowitz Matthew · CIK 0001646382 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,990,468

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12.00 to $12.68 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 23, 2016 Filed Nov 29, 2016 00:48 UTC
Rabinowitz MatthewDirector · Chief Executive Officer
SaleCommon Stock 84,617 $12.79 $1,082,539.13
Disclosure

SEC source: 0001179110-16-032157 · edgar.xml · nonDerivative · entry 1

Rabinowitz Matthew · CIK 0001646382 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,020,876

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12.48 to $12.95 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 22, 2016 Filed Nov 26, 2016 00:56 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 25,895 $1.14 Strike: $1.14 $29,546.20
Disclosure

SEC source: 0001179110-16-032112 · edgar.xml · derivative · entry 3

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,354

Underlying: Common Stock · 25,895 shares

Expires 2022-09-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time.

Read SEC document
November 22, 2016 Filed Nov 26, 2016 00:56 UTC
Sheena JonathanDirector · Chief Technology Officer
SaleCommon Stock 25,895 $12.08 $312,860.80
Disclosure

SEC source: 0001179110-16-032112 · edgar.xml · nonDerivative · entry 2

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 629,759

F1 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12.00 to $12.32 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 22, 2016 Filed Nov 26, 2016 00:56 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionCommon Stock 25,895 $1.14 $29,546.20
Disclosure

SEC source: 0001179110-16-032112 · edgar.xml · nonDerivative · entry 1

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 655,654

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 21, 2016 Filed Nov 22, 2016 00:50 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 32,099 $1.14 Strike: $1.14 $36,624.96
Disclosure

SEC source: 0001179110-16-031914 · edgar.xml · derivative · entry 6

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,463

Underlying: Common Stock · 32,099 shares

Expires 2022-09-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time.

Read SEC document
November 21, 2016 Filed Nov 22, 2016 00:50 UTC
Sheena JonathanDirector · Chief Technology Officer
SaleCommon Stock 32,099 $12.00 $385,188.00
Disclosure

SEC source: 0001179110-16-031914 · edgar.xml · nonDerivative · entry 4

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 629,759

F1 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions through a broker-dealer at prices ranging from $12 to $12.01 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 21, 2016 Filed Nov 22, 2016 00:50 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionCommon Stock 32,099 $1.14 $36,624.96
Disclosure

SEC source: 0001179110-16-031914 · edgar.xml · nonDerivative · entry 3

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 661,858

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 17, 2016 Filed Nov 22, 2016 00:50 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 406 $1.14 Strike: $1.14 $463.25
Disclosure

SEC source: 0001179110-16-031914 · edgar.xml · derivative · entry 5

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,562

Underlying: Common Stock · 406 shares

Expires 2022-09-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time.

Read SEC document
November 17, 2016 Filed Nov 22, 2016 00:50 UTC
Sheena JonathanDirector · Chief Technology Officer
SaleCommon Stock 406 $12.00 $4,872.00
Disclosure

SEC source: 0001179110-16-031914 · edgar.xml · nonDerivative · entry 2

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 629,759

Read SEC document
November 17, 2016 Filed Nov 22, 2016 00:50 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionCommon Stock 406 $1.14 $463.25
Disclosure

SEC source: 0001179110-16-031914 · edgar.xml · nonDerivative · entry 1

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,165

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:00 UTC GrantNonQualified Stock Option (right to buy) · Derivative 1,294 $7.73 Strike: $11.15 $10,002.62
Disclosure

SEC source: 0001179110-16-031637 · edgar.xml · derivative · entry 1

Driscoll Edward C. Jr. · CIK 0001646662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,294

Underlying: Common Stock · 1,294 shares

Expires 2026-11-10

F1 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time. The option was issued to the Reporting Person in lieu of retainer fees of $10,000, for service on the Issuer's board of directors.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 22:59 UTC
Steuart JohnDirector
GrantNonQualified Stock Option (right to buy) · Derivative 1,811 $7.73 Strike: $11.15 $13,999.03
Disclosure

SEC source: 0001179110-16-031636 · edgar.xml · derivative · entry 1

Steuart John · CIK 0001646806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,811

Underlying: Common Stock · 1,811 shares

Expires 2026-11-10

F1 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time. The option was issued to the Reporting Person in lieu of retainer fees of $14,000, for service on the Issuer's board of directors.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 22:59 UTC
BOTHA ROELOFDirector · 10% owner
GrantNon-Qualified Stock Option (right to buy) · Derivative 2,021 $7.73 Strike: $11.15 $15,622.33
Disclosure

SEC source: 0001179110-16-031635 · edgar.xml · derivative · entry 1

BOTHA ROELOF · CIK 0001222287 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,021

Underlying: Common Stock · 2,021 shares

Expires 2026-11-10

F1 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time. The option was issued to the Reporting Person in lieu of retainer fees of $15,625, for service on the Issuer's board of directors.

Read SEC document
November 03, 2016 Filed Nov 4, 2016 21:03 UTC
ROSENMAN HERMChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-031240 · edgar.xml · derivative · entry 3

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock of the issuer.

F1 · shares: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.

F5 · derivative.exercise_date: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.

F5 · derivative.expiration_date: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.

Read SEC document
November 03, 2016 Filed Nov 4, 2016 21:03 UTC
ROSENMAN HERMChief Financial Officer
SaleCommon Stock 1,852 $7.98 $14,778.96
Disclosure

SEC source: 0001179110-16-031240 · edgar.xml · nonDerivative · entry 2

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,237

F3 · kind: The sale of shares was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 31, 2016.

Read SEC document
November 03, 2016 Filed Nov 4, 2016 21:03 UTC
ROSENMAN HERMChief Financial Officer
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-031240 · edgar.xml · nonDerivative · entry 1

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,089

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.

F2 · price: Each RSU represents a contingent right to receive one share of the common stock of the issuer.

F4 · balance_after: Includes 1,811 shares acquired under the Issuer's 2015 Employee Stock Purchase Plan on October 31, 2016.

Read SEC document
November 02, 2016 Filed Nov 4, 2016 21:03 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,944 $0.55 Strike: $0.55 $6,065.16
Disclosure

SEC source: 0001179110-16-031241 · edgar.xml · derivative · entry 2

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,944 shares

Expires 2021-05-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time.

Read SEC document
November 02, 2016 Filed Nov 4, 2016 21:03 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionCommon Stock 10,944 $0.55 $6,065.16
Disclosure

SEC source: 0001179110-16-031241 · edgar.xml · nonDerivative · entry 1

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 629,759

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 2,117 shares acquired under the Issuer's 2015 Employee Stock Purchase Plan on April 29, 2016, and 1,147 shares acquired under the Issuer's 2015 Employee Stock Purchase Plan on October 31, 2016.

Read SEC document
October 06, 2016 Filed Oct 7, 2016 23:14 UTC
ROSENMAN HERMChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-030613 · edgar.xml · derivative · entry 3

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock of the issuer.

F1 · shares: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.

F5 · derivative.exercise_date: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.

F5 · derivative.expiration_date: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.

Read SEC document
October 06, 2016 Filed Oct 7, 2016 23:14 UTC
ROSENMAN HERMChief Financial Officer
SaleCommon Stock 1,773 $11.53 $20,443.75
Disclosure

SEC source: 0001179110-16-030613 · edgar.xml · nonDerivative · entry 2

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,278

F3 · kind: The sale of shares was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 31, 2016.

F4 · price: The reported price in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $11.53 to $11.5909 per share, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 06, 2016 Filed Oct 7, 2016 23:14 UTC
ROSENMAN HERMChief Financial Officer
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-030613 · edgar.xml · nonDerivative · entry 1

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,051

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.

F2 · price: Each RSU represents a contingent right to receive one share of the common stock of the issuer.

Read SEC document
October 05, 2016 Filed Oct 7, 2016 23:08 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,600 $1.14 Strike: $1.14 $1,825.60
Disclosure

SEC source: 0001179110-16-030610 · edgar.xml · derivative · entry 3

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,968

Underlying: Common Stock · 1,600 shares

Expires 2022-09-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option shares are fully vested and may be exercised at any time.

Read SEC document
October 05, 2016 Filed Oct 7, 2016 23:08 UTC
Sheena JonathanDirector · Chief Technology Officer
SaleCommon Stock 1,600 $12.00 $19,200.00
Disclosure

SEC source: 0001179110-16-030610 · edgar.xml · nonDerivative · entry 2

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 615,551

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
October 05, 2016 Filed Oct 7, 2016 23:08 UTC
Sheena JonathanDirector · Chief Technology Officer
Exercise / conversionCommon Stock 1,600 $1.14 $1,825.60
Disclosure

SEC source: 0001179110-16-030610 · edgar.xml · nonDerivative · entry 1

Sheena Jonathan · CIK 0001646649 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,151

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 23, 2016 Filed Feb 14, 2017 21:22 UTC
Rabinowitz MatthewDirector · Chief Executive Officer
GiftCommon Stock 3,195 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-002333 · edgar.xml · nonDerivative · entry 1

Rabinowitz Matthew · CIK 0001646382 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,885,449

Read SEC document
September 06, 2016 Filed Sep 7, 2016 23:09 UTC
ROSENMAN HERMChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-029415 · edgar.xml · derivative · entry 3

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock of the issuer.

F1 · shares: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.

F4 · derivative.exercise_date: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.

F4 · derivative.expiration_date: The RSU vests over one year, in equal monthly installments, starting May 1, 2016.

Read SEC document
September 06, 2016 Filed Sep 7, 2016 23:09 UTC
ROSENMAN HERMChief Financial Officer
SaleCommon Stock 1,822 $10.21 $18,602.62
Disclosure

SEC source: 0001179110-16-029415 · edgar.xml · nonDerivative · entry 2

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,051

F3 · kind: The sale of shares was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 31, 2016.

Read SEC document
September 06, 2016 Filed Sep 7, 2016 23:09 UTC
ROSENMAN HERMChief Financial Officer
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-029415 · edgar.xml · nonDerivative · entry 1

ROSENMAN HERM · CIK 0001230057 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,873

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the partial vesting and settlement of Restricted Stock Units ("RSUs") which vest in equal monthly installments, starting May 1, 2016.

F2 · price: Each RSU represents a contingent right to receive one share of the common stock of the issuer.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 134 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 12

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Randall Hawks

Disclosed balance after: 4,007

F17 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (10).

F17 · price: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (10).

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 134 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 11

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Goldhaber Investments, L.P. - Fund I

Disclosed balance after: 5,976

F16 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution described in footnote (10). The shares are held by the Goldhaber Investments. Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F16 · price: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution described in footnote (10). The shares are held by the Goldhaber Investments. Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F16 · ownership.nature: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution described in footnote (10). The shares are held by the Goldhaber Investments. Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 313 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 10

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Claremont Creek Partners II, LLC

Disclosed balance after: 0

F10 · kind: Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP II without consideration to its members.

F10 · price: Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP II without consideration to its members.

F8 · ownership.nature: These shares are owned directly by CCP II. The managing members of CCP II are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

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August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 313 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 9

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Claremont Creek Partners II, LLC

Disclosed balance after: 313

F9 · kind: Represents the receipt of shares in the pro rata in kind distribution of Common Stock of the Issuer by CCV II described in footnote (6).

F9 · price: Represents the receipt of shares in the pro rata in kind distribution of Common Stock of the Issuer by CCV II described in footnote (6).

F8 · ownership.nature: These shares are owned directly by CCP II. The managing members of CCP II are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

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August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 30,557 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 8

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Claremont Creek Ventures II, L.P.

Disclosed balance after: 580,853

F6 · kind: Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures II, L.P. ("CCV II") to its partners, including its general partner, Claremont Creek Partners II, LLC ("CCP II").

F6 · price: Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures II, L.P. ("CCV II") to its partners, including its general partner, Claremont Creek Partners II, LLC ("CCP II").

F7 · ownership.nature: These shares are owned directly by CCV II, of which CCP II is the sole general partner and exercises voting and investment power over these shares. The managing members of CCP II are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 3,873 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 7

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Randall Hawks

Disclosed balance after: 3,873

F13 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 2,730 shares from CCPF, and (ii) 1,143 shares from CCP.

F13 · price: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 2,730 shares from CCPF, and (ii) 1,143 shares from CCP.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 117 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 6

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE

Disclosed balance after: 117

F12 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1). The shares are held by the Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE ("Gerson Trust"). Nathaniel Goldhaber is a trustee and beneficiary of the Gerson Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F12 · price: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1). The shares are held by the Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE ("Gerson Trust"). Nathaniel Goldhaber is a trustee and beneficiary of the Gerson Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F12 · ownership.nature: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1). The shares are held by the Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE ("Gerson Trust"). Nathaniel Goldhaber is a trustee and beneficiary of the Gerson Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 5,842 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 5

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Goldhaber Investments, L.P. - Fund I

Disclosed balance after: 5,842

F11 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 4,699 shares from CCPF and (ii) 1,143 shares from CCP. The shares are held by the Goldhaber Investments, L.P. - Fund I ("Goldhaber Investments"). Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F11 · price: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 4,699 shares from CCPF and (ii) 1,143 shares from CCP. The shares are held by the Goldhaber Investments, L.P. - Fund I ("Goldhaber Investments"). Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F11 · ownership.nature: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 4,699 shares from CCPF and (ii) 1,143 shares from CCP. The shares are held by the Goldhaber Investments, L.P. - Fund I ("Goldhaber Investments"). Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 3,278 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 4

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Claremont Creek Partners, LLC

Disclosed balance after: 0

F5 · kind: Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP without consideration to its members.

F5 · price: Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP without consideration to its members.

F4 · ownership.nature: These shares are owned directly by CCP. The managing members of CCP are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 3,278 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 3

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Claremont Creek Partners, LLC

Disclosed balance after: 3,278

F3 · kind: Represents the receipt of shares in the pro rata in kind distributions of Common Stock of the Issuer by CCV and CCPF described in footnote (1).

F3 · price: Represents the receipt of shares in the pro rata in kind distributions of Common Stock of the Issuer by CCV and CCPF described in footnote (1).

F4 · ownership.nature: These shares are owned directly by CCP. The managing members of CCP are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 11,010 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 2

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Claremont Creek Partners Fund, L.P.

Disclosed balance after: 209,301

F1 · kind: Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures, L.P. ("CCV") and Claremont Creek Partners Fund, L.P. ("CCPF") to their respective partners, including their general partner, Claremont Creek Partners, LLC ("CCP").

F1 · price: Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures, L.P. ("CCV") and Claremont Creek Partners Fund, L.P. ("CCPF") to their respective partners, including their general partner, Claremont Creek Partners, LLC ("CCP").

F2 · ownership.nature: These shares are owned directly by CCV and CCPF, of which CCP is the sole general partner and exercises voting and investment power over these shares. The managing members of CCP are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
August 05, 2016 Filed Jan 8, 2018 20:14 UTC
Hawks Randall10% owner
OtherCommon Stock 327,922 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000661 · doc4.xml · nonDerivative · entry 1

CLAREMONT CREEK VENTURES L P · CIK 0001332576 · 10% owner

Claremont Creek Partners fund L P · CIK 0001343179 · 10% owner

Claremont Creek Ventures II LP · CIK 0001443493 · 10% owner

GOLDHABER NATHANIEL · CIK 0001086858 · 10% owner

Hawks Randall · CIK 0001646756 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Claremont Creek Ventures, L.P.

Disclosed balance after: 6,230,694

F1 · kind: Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures, L.P. ("CCV") and Claremont Creek Partners Fund, L.P. ("CCPF") to their respective partners, including their general partner, Claremont Creek Partners, LLC ("CCP").

F1 · price: Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures, L.P. ("CCV") and Claremont Creek Partners Fund, L.P. ("CCPF") to their respective partners, including their general partner, Claremont Creek Partners, LLC ("CCP").

F2 · ownership.nature: These shares are owned directly by CCV and CCPF, of which CCP is the sole general partner and exercises voting and investment power over these shares. The managing members of CCP are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
November 11, 2010 Filed Nov 13, 2020 02:33 UTC
Chapman Steven LeonardDirector · Chief Executive Officer
Exercise / conversionCommon Stock 32,730 $25.46 $833,305.80
Disclosure

SEC source: 0001179110-20-011091 · edgar.xml · nonDerivative · entry 11

Chapman Steven Leonard · CIK 0001711968 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,750

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.