FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Natera, Inc. [ NTRA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/05/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 08/05/2016 | J(1) | 327,922 | D | (1) | 6,230,694 | I | By Claremont Creek Ventures, L.P.(2) | ||
Common Stock | 08/05/2016 | J(1) | 11,010 | D | (1) | 209,301 | I | By Claremont Creek Partners Fund, L.P.(2) | ||
Common Stock | 08/05/2016 | J(3) | 3,278 | A | (3) | 3,278 | I | Claremont Creek Partners, LLC(4) | ||
Common Stock | 08/05/2016 | J(5) | 3,278 | D | (5) | 0 | I | Claremont Creek Partners, LLC(4) | ||
Common Stock | 08/05/2016 | J(11) | 5,842 | A | (11) | 5,842 | I | Goldhaber Investments, L.P. - Fund I(11) | ||
Common Stock | 08/05/2016 | J(12) | 117 | A | (12) | 117 | I | Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE(12) | ||
Common Stock | 08/05/2016 | J(13) | 3,873 | A | (13) | 3,873 | I | Randall Hawks | ||
Common Stock | 08/05/2016 | J(6) | 30,557 | D | (6) | 580,853 | I | By Claremont Creek Ventures II, L.P.(7) | ||
Common Stock | 08/05/2016 | J(9) | 313 | A | (9) | 313 | I | Claremont Creek Partners II, LLC(8) | ||
Common Stock | 08/05/2016 | J(10) | 313 | D | (10) | 0 | I | Claremont Creek Partners II, LLC(8) | ||
Common Stock | 08/05/2016 | J(16) | 134 | A | (16) | 5,976 | I | Goldhaber Investments, L.P. - Fund I(16) | ||
Common Stock | 08/05/2016 | J(17) | 134 | A | (17) | 4,007 | I | Randall Hawks | ||
Common Stock | 11/27/2017 | J(18) | 266,237 | D | (18) | 5,964,457 | I | By Claremont Creek Ventures, L.P.(2) | ||
Common Stock | 11/27/2017 | J(18) | 8,943 | D | (18) | 200,358 | I | By Claremont Creek Partners Fund, L.P.(2) | ||
Common Stock | 11/27/2017 | J(19) | 2,662 | A | (19) | 2,662 | I | Claremont Creek Partners, LLC(4) | ||
Common Stock | 11/27/2017 | J(20) | 2,662 | D | (20) | 0 | I | Claremont Creek Partners, LLC(4) | ||
Common Stock | 11/27/2017 | J(14) | 4,743 | A | (14) | 10,719 | I | Goldhaber Investments, L.P. - Fund I(14) | ||
Common Stock | 11/27/2017 | J(26) | 96 | A | (26) | 213 | I | Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE(26) | ||
Common Stock | 11/27/2017 | J(15) | 3,144 | A | (15) | 7,151 | I | Randall Hawks | ||
Common Stock | 11/27/2017 | J(21) | 24,820 | D | (21) | 556,033 | I | By Claremont Creek Ventures II, L.P.(7) | ||
Common Stock | 11/27/2017 | J(22) | 255 | A | (22) | 255 | I | Claremont Creek Partners II, LLC(8) | ||
Common Stock | 11/27/2017 | J(23) | 255 | D | (23) | 0 | I | Claremont Creek Partners II, LLC(8) | ||
Common Stock | 11/27/2017 | J(24) | 109 | A | (24) | 10,828 | I | Goldhaber Investments, L.P. - Fund I(24) | ||
Common Stock | 11/27/2017 | J(25) | 109 | A | (25) | 7,260 | I | Randall Hawks |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures, L.P. ("CCV") and Claremont Creek Partners Fund, L.P. ("CCPF") to their respective partners, including their general partner, Claremont Creek Partners, LLC ("CCP"). |
2. These shares are owned directly by CCV and CCPF, of which CCP is the sole general partner and exercises voting and investment power over these shares. The managing members of CCP are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose. |
3. Represents the receipt of shares in the pro rata in kind distributions of Common Stock of the Issuer by CCV and CCPF described in footnote (1). |
4. These shares are owned directly by CCP. The managing members of CCP are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose. |
5. Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP without consideration to its members. |
6. Represents a pro rata in kind distribution without consideration by Claremont Creek Ventures II, L.P. ("CCV II") to its partners, including its general partner, Claremont Creek Partners II, LLC ("CCP II"). |
7. These shares are owned directly by CCV II, of which CCP II is the sole general partner and exercises voting and investment power over these shares. The managing members of CCP II are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose. |
8. These shares are owned directly by CCP II. The managing members of CCP II are Randall Hawks and Nathaniel Goldhaber. The reporting persons disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for Section 16 or any other purpose. |
9. Represents the receipt of shares in the pro rata in kind distribution of Common Stock of the Issuer by CCV II described in footnote (6). |
10. Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP II without consideration to its members. |
11. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 4,699 shares from CCPF and (ii) 1,143 shares from CCP. The shares are held by the Goldhaber Investments, L.P. - Fund I ("Goldhaber Investments"). Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
12. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1). The shares are held by the Gerson Goldhaber Family Trust, Gerson and Judith Goldhaber, TTE ("Gerson Trust"). Nathaniel Goldhaber is a trustee and beneficiary of the Gerson Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
13. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (1) and (5) as follows: (i) 2,730 shares from CCPF, and (ii) 1,143 shares from CCP. |
14. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (18) and (20) as follows: (i) 3,815 shares from CCPF, and (ii) 928 shares from CCP. The shares are held by Goldhaber Investments. Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
15. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (18) and (20) as follows: (i) 2,216 shares from CCPF, and (ii) 928 shares from CCP. |
16. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution described in footnote (10). The shares are held by the Goldhaber Investments. Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
17. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (10). |
18. Represents a pro rata in kind distribution without consideration by CCV and CCPF to their respective partners, including their general partner, CCP. |
19. Represents the receipt of shares in the pro rata in kind distributions of Common Stock of the Issuer by CCV and CCPF described in footnote (18). |
20. Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP without consideration to its members. |
21. Represents a pro rata in kind distribution without consideration by CCV II to its partners, including its general partner, CCP II. |
22. Represents the receipt of shares in the pro rata in kind distribution of Common Stock of the Issuer by CCV II described in footnote (21). |
23. Represents a pro rata in kind distribution of Common Stock of the Issuer by CCP II without consideration to its members. |
24. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distribution described in footnote (23). The shares are held by the Goldhaber Investments. Nathaniel Goldhaber is the general partner of Goldhaber Investments and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
25. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (23). |
26. Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in kind distributions described in footnote (18). The shares are held by the Gerson Trust. Nathaniel Goldhaber is a trustee and beneficiary of the Gerson Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
Remarks: |
Claremont Creek Ventures, L.P., By: Claremont Creek Partners, LLC, Its: General Partner, By: , Managing Member | 01/08/2018 | |
Claremont Creek Partners Fund, L.P., By: Claremont Creek Partners, LLC, Its: General Partner, By: , Managing Member | 01/08/2018 | |
Claremont Creek Ventures II, L.P., By: Claremont Creek Partners II, LLC, Its: General Partner, By: , Managing Member | 01/08/2018 | |
Nathaniel Goldhaber | 01/08/2018 | |
Randall Hawks | 01/08/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |