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Natera, Inc. — Director's Dealing 2015
Jul 9, 2015
30253_dirs_2015-07-09_b219a35b-0116-44b8-97c5-ede7d5320e61.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Natera, Inc. (NTRA)
CIK: 0001604821
Period of Report: 2015-07-08
Reporting Person: BOTHA ROELOF (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-07-08 | Common Stock | C | 6395467 | — | Acquired | 6736127 | Indirect |
| 2015-07-08 | Common Stock | C | 683527 | — | Acquired | 719935 | Indirect |
| 2015-07-08 | Common Stock | C | 239306 | — | Acquired | 252053 | Indirect |
| 2015-07-08 | Common Stock | M | 31793 | $0.0163 | Acquired | 6767920 | Indirect |
| 2015-07-08 | Common Stock | M | 3398 | $0.0163 | Acquired | 723333 | Indirect |
| 2015-07-08 | Common Stock | M | 1189 | $0.0163 | Acquired | 253242 | Indirect |
| 2015-07-08 | Common Stock | F | 29 | $18.00 | Disposed | 6767891 | Indirect |
| 2015-07-08 | Common Stock | F | 4 | $18.00 | Disposed | 723329 | Indirect |
| 2015-07-08 | Common Stock | F | 2 | $18.00 | Disposed | 253240 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-07-08 | Series A Preferred Stock | $ | C | 1094152 | Disposed | Common Stock (1094152) | Indirect | |
| 2015-07-08 | Series A Preferred Stock | $ | C | 116939 | Disposed | Common Stock (116939) | Indirect | |
| 2015-07-08 | Series A Preferred Stock | $ | C | 40941 | Disposed | Common Stock (40941) | Indirect | |
| 2015-07-08 | Series B Preferred Stock | $ | C | 693277 | Disposed | Common Stock (693277) | Indirect | |
| 2015-07-08 | Series B Preferred Stock | $ | C | 74095 | Disposed | Common Stock (74095) | Indirect | |
| 2015-07-08 | Series B Preferred Stock | $ | C | 25941 | Disposed | Common Stock (25941) | Indirect | |
| 2015-07-08 | Series C Preferred Stock | $ | C | 3095772 | Disposed | Common Stock (3095772) | Indirect | |
| 2015-07-08 | Series C Preferred Stock | $ | C | 330867 | Disposed | Common Stock (330867) | Indirect | |
| 2015-07-08 | Series C Preferred Stock | $ | C | 115838 | Disposed | Common Stock (115838) | Indirect | |
| 2015-07-08 | Series D Preferred Stock | $ | C | 1076607 | Disposed | Common Stock (1076607) | Indirect | |
| 2015-07-08 | Series D Preferred Stock | $ | C | 115065 | Disposed | Common Stock (115065) | Indirect | |
| 2015-07-08 | Series D Preferred Stock | $ | C | 40285 | Disposed | Common Stock (40285) | Indirect | |
| 2015-07-08 | Series E Preferred Stock | $ | C | 435659 | Disposed | Common Stock (435659) | Indirect | |
| 2015-07-08 | Series E Preferred Stock | $ | C | 46561 | Disposed | Common Stock (46561) | Indirect | |
| 2015-07-08 | Series E Preferred Stock | $ | C | 16301 | Disposed | Common Stock (16301) | Indirect | |
| 2015-07-08 | Common Stock Warrant (right to buy) | $0.0163 | M | 31793 | Disposed | 2021-11-19 | Common Stock (31793) | Indirect |
| 2015-07-08 | Common Stock Warrant (right to buy) | $0.0163 | M | 3398 | Disposed | 2021-11-19 | Common Stock (3398) | Indirect |
| 2015-07-08 | Common Stock Warrant (right to buy) | $0.0163 | M | 1189 | Disposed | 2021-11-19 | Common Stock (1189) | Indirect |
Footnotes
F1: Each 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.
F2: Roelof F. Botha is a managing member of SC XII Management, LLC ("SC XII Management"). SC XII Management is the general partner of Sequoia Capital XII, L.P. and Sequoia Technology Partners XII, L.P. and is the managing member of Sequoia Capital XII Principals Fund, LLC. By virtue of these relationships, Mr. Botha may be deemed to share voting and dispositive power with respect to the shares held by Sequoia Capital XII, L.P., Sequoia Technology Partners XII, L.P. and Sequoia Capital XII Principals Fund, LLC. Mr. Botha 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.
F3: This warrant was net exercised at the time of the IPO based on the IPO price.