SEC Form 4 · accession 0000899243-18-013205
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
May 15, 2018
Accepted (ET)
May 17, 2018 · 4:20 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 StockF3,F2 | May 15, 2018 | S | 994 | $11.52 | D | 994 | I | Claremont Creek Partners, LLC |
| Common StockF3,F4 | May 15, 2018 | S | 1,424 | $11.52 | D | 12,143 | I | Goldhaber Investments, L.P. - Fund I |
| Common StockF3 | May 15, 2018 | S | 828 | $11.52 | D | 7,978 | I | Randall Hawks |
| Common StockF3,F7 | May 15, 2018 | S | 9,267 | $11.52 | D | 537,499 | I | By Claremont Creek Ventures II, L.P. |
| Common StockF6,F2 | May 16, 2018 | S | 994 | $11.66 | D | 0 | I | Claremont Creek Partners, LLC |
| Common StockF6,F4 | May 16, 2018 | S | 1,425 | $11.66 | D | 10,719 | I | Goldhaber Investments, L.P. - Fund I |
| Common StockF6 | May 16, 2018 | S | 827 | $11.66 | D | 7,151 | I | Randall Hawks |
| Common StockF6,F7 | May 16, 2018 | S | 9,268 | $11.66 | D | 528,231 | I | By Claremont Creek Ventures II, L.P. |
| Common StockF1 | holding | — | — | — | 5,669,215 | I | By Claremont Creek Ventures, L.P. | |
| Common StockF1 | holding | — | — | — | 190,340 | I | By Claremont Creek Partners Fund, L.P. | |
| Common StockF5 | holding | — | — | — | 320 | I | Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 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.
- F2These 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.
- F3Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $11.30 to $11.70 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.
- F4The 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.
- F5The 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.
- F6Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $11.52 to $11.78 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.
- F7These 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.