SEC Form 4 · accession 0000899243-18-000661
Natera, Inc. · NTRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Nathaniel Goldhaber
10% Owner
CLAREMONT CREEK VENTURES L P
10% Owner
Claremont Creek Partners fund L P
10% Owner
Claremont Creek Ventures II LP
10% Owner
Randall Hawks
10% Owner
Period of report
Aug 5, 2016
Accepted (ET)
Jan 8, 2018 · 3:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604821
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 5, 2016 | J | 327,922 | — | D | 6,230,694 | I | By Claremont Creek Ventures, L.P. |
| Common StockF1,F2 | Aug 5, 2016 | J | 11,010 | — | D | 209,301 | I | By Claremont Creek Partners Fund, L.P. |
| Common StockF3,F4 | Aug 5, 2016 | J | 3,278 | — | A | 3,278 | I | Claremont Creek Partners, LLC |
| Common StockF5,F4 | Aug 5, 2016 | J | 3,278 | — | D | 0 | I | Claremont Creek Partners, LLC |
| Common StockF11 | Aug 5, 2016 | J | 5,842 | — | A | 5,842 | I | Goldhaber Investments, L.P. - Fund I |
| Common StockF12 | Aug 5, 2016 | J | 117 | — | A | 117 | I | Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE |
| Common StockF13 | Aug 5, 2016 | J | 3,873 | — | A | 3,873 | I | Randall Hawks |
| Common StockF6,F7 | Aug 5, 2016 | J | 30,557 | — | D | 580,853 | I | By Claremont Creek Ventures II, L.P. |
| Common StockF9,F8 | Aug 5, 2016 | J | 313 | — | A | 313 | I | Claremont Creek Partners II, LLC |
| Common StockF10,F8 | Aug 5, 2016 | J | 313 | — | D | 0 | I | Claremont Creek Partners II, LLC |
| Common StockF16 | Aug 5, 2016 | J | 134 | — | A | 5,976 | I | Goldhaber Investments, L.P. - Fund I |
| Common StockF17 | Aug 5, 2016 | J | 134 | — | A | 4,007 | I | Randall Hawks |
| Common StockF18,F2 | Nov 27, 2017 | J | 266,237 | — | D | 5,964,457 | I | By Claremont Creek Ventures, L.P. |
| Common StockF18,F2 | Nov 27, 2017 | J | 8,943 | — | D | 200,358 | I | By Claremont Creek Partners Fund, L.P. |
| Common StockF19,F4 | Nov 27, 2017 | J | 2,662 | — | A | 2,662 | I | Claremont Creek Partners, LLC |
| Common StockF20,F4 | Nov 27, 2017 | J | 2,662 | — | D | 0 | I | Claremont Creek Partners, LLC |
| Common StockF14 | Nov 27, 2017 | J | 4,743 | — | A | 10,719 | I | Goldhaber Investments, L.P. - Fund I |
| Common StockF26 | Nov 27, 2017 | J | 96 | — | A | 213 | I | Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE |
| Common StockF15 | Nov 27, 2017 | J | 3,144 | — | A | 7,151 | I | Randall Hawks |
| Common StockF21,F7 | Nov 27, 2017 | J | 24,820 | — | D | 556,033 | I | By Claremont Creek Ventures II, L.P. |
| Common StockF22,F8 | Nov 27, 2017 | J | 255 | — | A | 255 | I | Claremont Creek Partners II, LLC |
| Common StockF23,F8 | Nov 27, 2017 | J | 255 | — | D | 0 | I | Claremont Creek Partners II, LLC |
| Common StockF24 | Nov 27, 2017 | J | 109 | — | A | 10,828 | I | Goldhaber Investments, L.P. - Fund I |
| Common StockF25 | Nov 27, 2017 | J | 109 | — | A | 7,260 | I | Randall Hawks |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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").
- F10Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP II without consideration to its members.
- F11Represents 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.
- F12Represents 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.
- F13Represents 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.
- F14Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (18) and (20) as follows: (i) 3,815 shares from CCPF, and (ii) 928 shares from CCP. The shares are held by 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.
- F15Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (18) and (20) as follows: (i) 2,216 shares from CCPF, and (ii) 928 shares from CCP.
- F16Represents 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.
- F17Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (10).
- F18Represents a pro rata in kind distribution without consideration by CCV and CCPF to their respective partners, including their general partner, CCP.
- F19Represents the receipt of shares in the pro rata in kind distributions of Common Stock of the Issuer by CCV and CCPF described in footnote (18).
- F2These 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.
- F20Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP without consideration to its members.
- F21Represents a pro rata in kind distribution without consideration by CCV II to its partners, including its general partner, CCP II.
- F22Represents the receipt of shares in the pro rata in kind distribution of Common Stock of the Issuer by CCV II described in footnote (21).
- F23Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP II without consideration to its members.
- F24Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution described in footnote (23). 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.
- F25Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (23).
- F26Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (18). The shares are held by the 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.
- F3Represents 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).
- F4These 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.
- F5Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP without consideration to its members.
- F6Represents 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").
- F7These 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.
- F8These 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.
- F9Represents the receipt of shares in the pro rata in kind distribution of Common Stock of the Issuer by CCV II described in footnote (6).