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Natera, Inc. — Director's Dealing 2015
Jul 9, 2015
30253_dirs_2015-07-09_cd9ed3a2-877e-4ff4-89d2-a6db8b9a47c9.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: CLAREMONT CREEK VENTURES L P (10% Owner)
Reporting Person: Claremont Creek Ventures II LP (10% Owner)
Reporting Person: Claremont Creek Partners fund L P (10% Owner)
Reporting Person: Hawks Randall (10% Owner)
Reporting Person: GOLDHABER NATHANIEL (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-07-08 | Common Stock | C | 6516224 | — | Acquired | 6516224 | Indirect |
| 2015-07-08 | Common Stock | C | 218888 | — | Acquired | 218888 | Indirect |
| 2015-07-08 | Common Stock | C | 569861 | — | Acquired | 569861 | Indirect |
| 2015-07-08 | Common Stock | M | 42392 | — | Acquired | 6558616 | Indirect |
| 2015-07-08 | Common Stock | M | 1423 | — | Acquired | 220311 | Indirect |
| 2015-07-08 | Common Stock | M | 41549 | — | Acquired | 611410 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-07-08 | Series A Preferred Stock | $ | C | 3270626 | Disposed | Common Stock (3270626) | Indirect | |
| 2015-07-08 | Series A Preferred Stock | $ | C | 109866 | Disposed | Common Stock (109866) | Indirect | |
| 2015-07-08 | Series B Preferred Stock | $ | C | 1535063 | Disposed | Common Stock (1535063) | Indirect | |
| 2015-07-08 | Series B Preferred Stock | $ | C | 51565 | Disposed | Common Stock (51565) | Indirect | |
| 2015-07-08 | Series C Preferred Stock | $ | C | 773917 | Disposed | Common Stock (773917) | Indirect | |
| 2015-07-08 | Series C Preferred Stock | $ | C | 25996 | Disposed | Common Stock (25996) | Indirect | |
| 2015-07-08 | Series D Preferred Stock | $ | C | 355192 | Disposed | Common Stock (355192) | Indirect | |
| 2015-07-08 | Series D Preferred Stock | $ | C | 11931 | Disposed | Common Stock (11931) | Indirect | |
| 2015-07-08 | Series E Preferred Stock | $ | C | 581426 | Disposed | Common Stock (581426) | Indirect | |
| 2015-07-08 | Series E Preferred Stock | $ | C | 19530 | Disposed | Common Stock (19530) | Indirect | |
| 2015-07-08 | Series E Preferred Stock | $ | C | 569861 | Disposed | Common Stock (569861) | Indirect | |
| 2015-07-08 | Common Stock Warrant (right to buy) | $0.0163 | M | 42392 | Disposed | 2021-11-19 | Common Stock (42392) | Indirect |
| 2015-07-08 | Common Stock Warrant (right to buy) | $0.0163 | M | 1423 | Disposed | 2021-11-19 | Common Stock (1423) | Indirect |
| 2015-07-08 | Common Stock Warrant (right to buy) | $0.0163 | M | 41549 | Disposed | 2021-11-19 | Common Stock (41549) | 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: Claremont 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.
F3: This warrant was net exercised at the time of the IPO based on the IPO price.