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Natera, Inc. — Director's Dealing 2015
Jul 1, 2015
30253_dirs_2015-07-01_bc9fbd5c-25be-4485-a2fb-8d72603d5617.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Natera, Inc. (NTRA)
CIK: 0001604821
Period of Report: 2015-07-01
Reporting Person: SC XII MANAGEMENT LLC (10% Owner)
Reporting Person: SEQUOIA CAPITAL XII A DELAWARE L P (10% Owner)
Reporting Person: SEQUOIA CAPITAL XII PRINCIPALS FUND LLC (10% Owner)
Reporting Person: SEQUOIA TECHNOLOGY PARTNERS XII A DELAWARE L P (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 340660 | Indirect |
| Common Stock | 36408 | Indirect |
| Common Stock | 12747 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (1094152) | Indirect | ||
| Series A Preferred Stock | $ | Common Stock (116939) | Indirect | ||
| Series A Preferred Stock | $ | Common Stock (40941) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (693277) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (74095) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (25941) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (3095772) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (330867) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (115838) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (1076607) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (115065) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (40285) | Indirect | ||
| Series E Preferred Stock | $ | Common Stock (435659) | Indirect | ||
| Series E Preferred Stock | $ | Common Stock (46561) | Indirect | ||
| Series E Preferred Stock | $ | Common Stock (16301) | Indirect | ||
| Common Stock Warrant (right to buy) | $0.0163 | 2021-11-19 | Common Stock (31793) | Indirect | |
| Common Stock Warrant (right to buy) | $0.0163 | 2021-11-19 | Common Stock (3398) | Indirect | |
| Common Stock Warrant (right to buy) | $0.0163 | 2021-11-19 | Common Stock (1189) | Indirect |
Footnotes
F1: SC XII Management, LLC ("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. As a result, SC XII Management 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. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its 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.
F2: Each share of preferred stock will be automatically converted into one (1) share of Common Stock immediately prior to the closing of the Issuer's initial public offering of Common Stock, and has no expiration date.
F3: To the extent that any portion of this warrant remains unexercised at the time of the Issuer's initial public offering ("IPO"), then such portion of this warrant shall be net exercised at the time of the IPO based on the IPO price.