SEC Form 4 · accession 0001209191-15-060278
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
Jul 8, 2015
Accepted (ET)
Jul 9, 2015 · 4:17 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 StockF1,F2 | Jul 8, 2015 | C | 6,516,224 | — | A | 6,516,224 | I | By Claremont Creek Ventures, L.P. |
| Common StockF1,F2 | Jul 8, 2015 | C | 218,888 | — | A | 218,888 | I | By Claremont Creek Partners Fund, L.P. |
| Common StockF1,F2 | Jul 8, 2015 | C | 569,861 | — | A | 569,861 | I | By Claremont Creek Ventures II, L.P. |
| Common StockF3,F2 | Jul 8, 2015 | M | 42,392 | — | A | 6,558,616 | I | By Claremont Creek Ventures, L.P. |
| Common StockF3,F2 | Jul 8, 2015 | M | 1,423 | — | A | 220,311 | I | By Claremont Creek Partners Fund, L.P. |
| Common StockF3,F2 | Jul 8, 2015 | M | 41,549 | — | A | 611,410 | I | By Claremont Creek Ventures II, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF2,F1 | — | Jul 8, 2015 | C | 3,270,626 | D | — | — | Common Stock | 3,270,626 | 0 | I |
| Series A Preferred StockF2,F1 | — | Jul 8, 2015 | C | 109,866 | D | — | — | Common Stock | 109,866 | 0 | I |
| Series B Preferred StockF2,F1 | — | Jul 8, 2015 | C | 1,535,063 | D | — | — | Common Stock | 1,535,063 | 0 | I |
| Series B Preferred StockF2,F1 | — | Jul 8, 2015 | C | 51,565 | D | — | — | Common Stock | 51,565 | 0 | I |
| Series C Preferred StockF2,F1 | — | Jul 8, 2015 | C | 773,917 | D | — | — | Common Stock | 773,917 | 0 | I |
| Series C Preferred StockF2,F1 | — | Jul 8, 2015 | C | 25,996 | D | — | — | Common Stock | 25,996 | 0 | I |
| Series D Preferred StockF2,F1 | — | Jul 8, 2015 | C | 355,192 | D | — | — | Common Stock | 355,192 | 0 | I |
| Series D Preferred StockF2,F1 | — | Jul 8, 2015 | C | 11,931 | D | — | — | Common Stock | 11,931 | 0 | I |
| Series E Preferred StockF2,F1 | — | Jul 8, 2015 | C | 581,426 | D | — | — | Common Stock | 581,426 | 0 | I |
| Series E Preferred StockF2,F1 | — | Jul 8, 2015 | C | 19,530 | D | — | — | Common Stock | 19,530 | 0 | I |
| Series E Preferred StockF2,F1 | — | Jul 8, 2015 | C | 569,861 | D | — | — | Common Stock | 569,861 | 0 | I |
| Common Stock Warrant (right to buy)F2,F3 | $0.0163 | Jul 8, 2015 | M | 42,392 | D | Nov 20, 2014 | Nov 19, 2021 | Common Stock | 42,392 | 0 | I |
| Common Stock Warrant (right to buy)F2,F3 | $0.0163 | Jul 8, 2015 | M | 1,423 | D | Nov 20, 2014 | Nov 19, 2021 | Common Stock | 1,423 | 0 | I |
| Common Stock Warrant (right to buy)F2,F3 | $0.0163 | Jul 8, 2015 | M | 41,549 | D | Nov 20, 2014 | Nov 19, 2021 | Common Stock | 41,549 | 0 | I |
Explanation of responses
- F1Each share of preferred stock automatically converted into one (1) share of Common Stock immediately prior to the closing of the Issuer's initial public offering ("IPO") of Common Stock, and has no expiration date.
- F2Claremont Creek Partners, LLC ("CCP LLC") is the general partner of Claremont Creek Ventures, L.P. and Claremont Creek Partners Fund, L.P., and Claremont Creek Partners II, LLC ("CCP LLC II") is the general partner of Claremont Creek Ventures II, L.P. (collectively, the "Claremont Entities"). The managing members of CCP LLC and CCP LLC II are Nat Goldhaber and Randy Hawks. Each managing member disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
- F3This warrant was net exercised at the time of the IPO based on the IPO price.