SEC Form 4 · accession 0001209191-15-060281
Natera, Inc. · NTRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Christopher J Schaepe
10% Owner
Barry Eggers
10% Owner
Ravi Mhatre
10% Owner
Peter Nieh
10% Owner
LIGHTSPEED VENTURE PARTNERS VIII LP
10% Owner
Period of report
Jul 8, 2015
Accepted (ET)
Jul 9, 2015 · 4:18 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,F3 | Jul 8, 2015 | C | 3,949,364 | — | A | 3,949,364 | D | |
| Common StockF2,F3 | Jul 8, 2015 | X | 24,252 | $0.0163 | A | 3,973,616 | D | |
| Common StockF2,F3 | Jul 8, 2015 | J | 22 | $18.00 | D | 3,973,594 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-1 Preferred StockF2,F3,F1 | — | Jul 8, 2015 | C | 475,988 | D | — | — | Common Stock | 475,988 | 0 | D |
| Series B Preferred StockF2,F3,F1 | — | Jul 8, 2015 | C | 105,774 | D | — | — | Common Stock | 105,774 | 0 | D |
| Series C Preferred StockF2,F3,F1 | — | Jul 8, 2015 | C | 571,367 | D | — | — | Common Stock | 571,367 | 0 | D |
| Series D Preferred StockF2,F3,F1 | — | Jul 8, 2015 | C | 2,463,916 | D | — | — | Common Stock | 2,463,916 | 0 | D |
| Series E Preferred StockF2,F3,F1 | — | Jul 8, 2015 | C | 332,319 | D | — | — | Common Stock | 332,319 | 0 | D |
| Common Stock Warrant (right to buy)F2,F3,F4 | $0.0163 | Jul 8, 2015 | X | 24,252 | D | Nov 20, 2014 | Nov 19, 2021 | Common Stock | 24,252 | 0 | D |
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.
- F2Shares held directly by Lightspeed Venture Partners VIII, L.P. Lightspeed Ultimate General Partner VIII, Ltd. is the general partner of Lightspeed General Partner VIII, L.P., which is the general partner of Lightspeed Venture Partners VIII, L.P. As such, Lightspeed Ultimate General Partner VIII, Ltd. possesses the power to direct the voting and disposition of the shares owned by Lightspeed Venture Partners VIII, L.P. and may be deemed to have indirect beneficial ownership of the shares held by Lightspeed Venture Partners VIII, L.P. Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of Lightspeed Ultimate General Partner VIII, Ltd. and therefore may be deemed to share power to direct the voting and disposition of the shares owned by Lightspeed Venture Partners VIII, L.P. and may be deemed to have indirect beneficial ownership of the shares held by Lightspeed Venture Partners VIII, L.P.
- F3Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his or its respective 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 purposes.
- F4This warrant was net exercised at the time of the IPO based on the IPO price.