SEC Form 4 · accession 0000899243-18-013006

Natera, Inc. · NTRA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

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

May 11, 2018

Accepted (ET)

May 15, 2018 · 7:32 pm EDT

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 Stock^F1,F2	May 11, 2018	J	295,242	—	D	5,669,215	I	By Claremont Creek Ventures, L.P.
Common Stock^F1,F2	May 11, 2018	J	10,018	—	D	190,340	I	By Claremont Creek Partners Fund, L.P.
Common Stock^F4,F5	May 11, 2018	J	2,982	—	A	2,982	I	Claremont Creek Partners, LLC
Common Stock^F6,F5	May 14, 2018	S	2,982	$11.48	D	0	I	Claremont Creek Partners, LLC
Common Stock^F7,F8	May 11, 2018	J	4,273	—	A	14,992	I	Goldhaber Investments, L.P. - Fund I
Common Stock^F9,F8	May 14, 2018	S	4,273	$11.48	D	10,719	I	Goldhaber Investments, L.P. - Fund I
Common Stock^F10	May 11, 2018	J	107	—	A	320	I	Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE
Common Stock^F11	May 11, 2018	J	2,483	—	A	9,634	I	Randall Hawks
Common Stock^F12	May 14, 2018	S	2,483	$11.48	D	7,151	I	Randall Hawks
Common Stock^F13,F14	May 14, 2018	S	27,802	$11.48	D	528,231	I	By Claremont Creek Ventures II, L.P.

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 the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution by CCPF 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.
F11Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution by CCPF described in footnote (1).
F12Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $11.38 to $11.55 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F13Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $11.38 to $11.55 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F14These shares are owned directly by Claremont Creek Ventures II, L.P., of which Claremont Creek Partners II, LLC ("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.
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.
F4Represents the receipt of shares in the pro rata in kind distributions of Common Stock of the Issuer by CCV described in footnote (1).
F5These 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.
F6Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $11.38 to $11.55 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F7Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution by CCPF described in footnote (1).
F8The 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.
F9Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $11.38 to $11.55 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.