Statement of Changes in Beneficial Ownership (4)
December 23 2020 - 5:23PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
George Sean E |
2. Issuer Name and Ticker or Trading Symbol
Invitae Corp
[
NVTA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O INVITAE CORPORATION, 1400 16TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/22/2020 |
(Street)
SAN FRANCISCO, CA 94103
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/22/2020 | | S | | 236 (1) | D | $51.6232 (2)(3) | 634457 (6) | D | |
Common Stock | 12/22/2020 | | S | | 2739 (1) | D | $52.946 (3)(4) | 631718 (6) | D | |
Common Stock | 12/22/2020 | | S | | 700 (1) | D | $53.99 (3)(5) | 631018 (6) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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) | The sales of common stock were effected pursuant to a Rule 10b-5 sales plan adopted by the reporting person on August 12, 2020. |
(2) | Represents a weighted average sale price. Actual sale prices ranged from $51.17 to $52.03 per share. |
(3) | 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. |
(4) | Represents a weighted average sale price. Actual sale prices ranged from $52.58 to $53.32 per share. |
(5) | Represents a weighted average sale price. Actual sale prices ranged from $53.73 to $54.30 per share. |
(6) | Includes an aggregate of 226,598 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
George Sean E C/O INVITAE CORPORATION 1400 16TH STREET SAN FRANCISCO, CA 94103 | X |
| President & CEO |
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Signatures
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/s/ Thomas Brida, Attorney-in-Fact | | 12/23/2020 |
**Signature of Reporting Person | Date |
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