Statement of Changes in Beneficial Ownership (4)
November 27 2020 - 5:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
WERNER ROBERT F. |
2. Issuer Name and Ticker or Trading Symbol
Invitae Corp
[
NVTA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Accounting Officer |
(Last)
(First)
(Middle)
C/O INVITAE CORPORATION, 1400 16TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/5/2020 |
(Street)
SAN FRANCISCO, CA 94103
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 10/5/2020 | | A | | 30000 (1) | A | $0 | 60334 (2) | D | |
Common Stock | 11/24/2020 | | S(3) | | 437 | D | $46.91 (4) | 60388 (2)(5) | D | |
Common Stock | 11/24/2020 | | S(3) | | 1051 | D | $48.37 (6) | 59337 (2) | D | |
Common Stock | 11/24/2020 | | S(3) | | 439 | D | $49.99 (7) | 58898 (2) | D | |
Common Stock | 11/24/2020 | | S(3) | | 400 | D | $50.56 (8) | 58498 (2) | D | |
Common Stock | 11/24/2020 | | S(3) | | 100 | D | $52.12 | 58398 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Shares issued upon settlement of a restricted stock unit award that vests in three equal installments, with 1/3rd of the remaining award vesting on each of August 15, 2021, 2022 and 2023, subject to continued service with the Issuer through the applicable vesting dates. |
(2) | Includes an aggregate of 57,610 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(3) | The sale of common stock was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2020. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.70 to $47.33, inclusive. The reporting person undertakes to provide to 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. |
(5) | Includes 491 shares purchased under the Company's Employee Stock Purchase Plan on November 13, 2020. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.04 to $49.00, inclusive. The reporting person undertakes to provide to 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. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.29 to $50.24, inclusive. The reporting person undertakes to provide to 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. |
(8) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.37 to $50.84, inclusive. The reporting person undertakes to provide to 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WERNER ROBERT F. C/O INVITAE CORPORATION 1400 16TH STREET SAN FRANCISCO, CA 94103 |
|
| Chief Accounting Officer |
|
Signatures
|
/s/ Thomas Brida, Attorney-in-fact | | 11/27/2020 |
**Signature of Reporting Person | Date |
Invitae (NYSE:NVTA)
Historical Stock Chart
From Jun 2024 to Jul 2024
Invitae (NYSE:NVTA)
Historical Stock Chart
From Jul 2023 to Jul 2024