0001193125-19-031430.txt : 20190208 0001193125-19-031430.hdr.sgml : 20190208 20190208061133 ACCESSION NUMBER: 0001193125-19-031430 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20190208 DATE AS OF CHANGE: 20190208 GROUP MEMBERS: CLAREMONT CREEK PARTNERS FUND, L.P. GROUP MEMBERS: CLAREMONT CREEK PARTNERS II, LLC GROUP MEMBERS: CLAREMONT CREEK PARTNERS, LLC GROUP MEMBERS: CLAREMONT CREEK VENTURES II, L.P. GROUP MEMBERS: NATHANIEL GOLDHABER GROUP MEMBERS: RANDALL HAWKS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Natera, Inc. CENTRAL INDEX KEY: 0001604821 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 010894487 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88929 FILM NUMBER: 19577179 BUSINESS ADDRESS: STREET 1: 201 INDUSTRIAL ROAD STREET 2: SUITE 410 CITY: SAN CARLOS STATE: CA ZIP: 94070 BUSINESS PHONE: 650-249-9090 MAIL ADDRESS: STREET 1: 201 INDUSTRIAL ROAD STREET 2: SUITE 410 CITY: SAN CARLOS STATE: CA ZIP: 94070 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CLAREMONT CREEK VENTURES L P CENTRAL INDEX KEY: 0001332576 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 505 14TH ST SUITE 800 CITY: OAKLAND STATE: CA ZIP: 94612 BUSINESS PHONE: 510-873-8414 MAIL ADDRESS: STREET 1: 505 14TH ST SUITE 800 CITY: OAKLAND STATE: CA ZIP: 94612 SC 13G/A 1 d694608dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2

(Amendment No. 4) *

 

 

Natera, Inc.

(Name of Issuer)

Common Stock, $0.0001 par value per share

(Title of Class of Securities)

632307 10 4

(CUSIP Number)

December 31, 2018

(Date of Event Which Requires Filing of This Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS.

 

  Claremont Creek Ventures, L.P.

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  0 shares

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  0 shares

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  0 shares

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.0%

12      

  TYPE OF REPORTING PERSON*

 

  PN

 

(1)

This Schedule 13G is filed by Claremont Creek Ventures, L.P. (“CCV”), Claremont Creek Partners, LLC (“CCP”), Claremont Creek Partners Fund, L.P. (“CCPF”), Claremont Creek Ventures II, L.P. (“CCV II”), Claremont Creek Partners II, LLC (“CCP II”), Randall Hawks (“Hawks”) and Nathaniel Goldhaber (“Goldhaber” together with CCV, CCP, CCPF, CCV II, CCP II and Hawks, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS.

 

  Claremont Creek Partners Fund, L.P.

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  0 shares

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  0 shares

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  0 shares

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.0%

12      

  TYPE OF REPORTING PERSON*

 

  PN

 

(1)

This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS

 

  Claremont Creek Partners, LLC

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  0 shares

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  0 shares

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  0 shares

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.0%

12      

  TYPE OF REPORTING PERSON*

 

  OO

 

(1)

This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS.

 

  Claremont Creek Ventures II, L.P.

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  0 shares

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  0 shares

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  0 shares

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.0%

12      

  TYPE OF REPORTING PERSON*

 

  PN

 

(1)

This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS

 

  Claremont Creek Partners II, LLC

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  0 shares

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  0 shares

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  0 shares

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.0%

12      

  TYPE OF REPORTING PERSON*

 

  OO

 

(1)

This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS

 

  Randall Hawks

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States of America

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  104,470 shares of Common Stock (2)

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  104,470 shares of Common Stock (2)

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  104,470 shares of Common Stock (2)

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.2% (3)

12      

  TYPE OF REPORTING PERSON*

 

  IN

 

(1)

This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2)

The shares are held by R HAWKS JR. & B M HAWKS CO-TTEE RANDALL & BEVERLY HAWKS FAMILY TRUST U/A DTD 07/03/2012 (the “Hawks Trust”). Randall Hawks serves as the trustee of the Hawks Trust. As such, Mr. Hawks possesses the power to direct the voting and disposition of the shares owned by the Hawks Trust and may be deemed to have indirect beneficial ownership of the shares held by the Hawks Trust.

(3)

This percentage set forth on the cover sheets are calculated based on 61,823,667 shares of the Common Stock outstanding as of October 31, 2018, as disclosed in the Issuer’s Form 10-Q for the period ended September 30, 2018, as filed with the Commission on November 9, 2018.

 

CUSIP NO. 632307 10 4    13 G   

 

  1       

  NAMES OF REPORTING PERSONS

 

  Nathaniel Goldhaber

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☒(1)

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States of America

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

     5     

  SOLE VOTING POWER

 

  115,816 shares of Common Stock (2)

  6     

  SHARED VOTING POWER

 

  0 shares

  7     

  SOLE DISPOSITIVE POWER

 

  115,816 shares of Common Stock (2)

  8     

  SHARED DISPOSITIVE POWER

 

  0 shares

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  115,816 shares of Common Stock (2)

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  0.2% (3)

12      

  TYPE OF REPORTING PERSON*

 

  IN

 

(1)

This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2)

The shares are held by Goldhaber Investments, L.P., of which Nathaniel Goldhaber serves as general partner.

(3)

This percentage set forth on the cover sheets are calculated based on 61,823,667 shares of the Common Stock outstanding as of October 31, 2018, as disclosed in the Issuer’s Form 10-Q for the period ended September 30, 2018, as filed with the Commission on November 9, 2018.

 

Introductory Note: This statement on Schedule 13G is filed by the Reporting Persons with the Commission in respect of shares of Common Stock, par value $0.0001 per share (“Common Stock”), of Natera, Inc., a Delaware corporation (the “Issuer”).

Item 1

 

(a)    Name of Issuer:    Natera, Inc.
(b)    Address of Issuer’s   
       Principal Executive Offices:    201 Industrial Road, Suite 410
      San Carlos, California 94070

Item 2

 

(a)

Name of Reporting Persons Filing:

 

  1.

Claremont Creek Ventures, L.P. (“CCV”)

 

  2.

Claremont Creek Partners Fund, L.P. (“CCPF”)

 

  3.

Claremont Creek Partners, LLC (“CCP”)

 

  4.

Claremont Creek Ventures II, L.P. (“CCV II”)

 

  5.

Claremont Creek Partners II, LLC (“CCP II”)

 

  6.

Randall Hawks (“Hawks”)

 

  7.

Nathaniel Goldhaber (“Goldhaber”)

 

(b)

   

Address of Principal Business Office:

   

c/o Claremont Creek Ventures

     

300 Frank H. Ogawa Plaza, Suite 350

     

Oakland, California 94612

 

(c)

Citizenship:

 

CCV   

Delaware

CCPF   

Delaware

CCP   

Delaware

CCV II   

Delaware

CCP II   

Delaware

Hawks   

United States of America

Goldhaber   

United States of America

 

(d)

   

Title of Class of Securities:

   

Common Stock

(e)

   

CUSIP Number:

    632307 10 4

 

Item 3

Not applicable.

 

Item 4

Ownership.

The following information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2018:

Reporting Persons

    Shares Held
Directly (1)		      Sole Voting
Power		      Shared
Voting
Power		      Sole
Dispositive
Power		      Shared
Dispositive
Power		      Beneficial
Ownership		      Percentage of
Class (2)		  

CCV

      0        0        0        0        0        0        0.0 % 

CCPF

      0        0        0        0        0        0        0.0 % 

CCV II

      0        0        0        0        0        0        0.0 % 

CCP

      0        0        0        0        0        0        0.0 % 

CCP II

      0        0        0        0        0        0        0.0 % 

Hawks

      104,470        104,470        0        104,470        0        104,470        0.2 % 

Goldhaber

      115,816        115,816        0        115,816        0        115,816        0.2 % 

 

(1)

Represents the number of shares of Common Stock held by the Reporting Persons.

(2)

This percentage set forth on the cover sheets are calculated based on 61,823,667 shares of the Common Stock outstanding as of October 31, 2018, as disclosed in the Issuer’s Form 10-Q for the period ended September 30, 2018, as filed with the Commission on November 9, 2018.

 

Item 5

Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ☒

 

Item 6

Ownership of More Than Five Percent on Behalf of Another Person.

Not applicable.

 

Item 7

Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company.

Not applicable.

 

Item 8

Identification and Classification of Members of the Group.

Not applicable.

 

Item 9

Notice of Dissolution of Group.

Not applicable.

 

Item 10

Certification.

Not applicable.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in the attached statement on Schedule 13G is true, complete and correct.

Dated: February 8, 2019

 

CLAREMONT CREEK VENTURES, L.P.
By: Claremont Creek Partners, LLC
Its: General Partner
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK PARTNERS FUND, L.P.
By: Claremont Creek Partners, LLC
Its: General Partner
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK PARTNERS, LLC
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK VENTURES II, L.P.
By: Claremont Creek Partners II, LLC
Its: General Partner
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK PARTNERS II, LLC
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director

/s/ Randall Hawks

Randall Hawks

/s/ Nathaniel Goldhaber

Nathaniel Goldhaber

Exhibit(s):

A:    Joint Filing Statement

 

 EX-99.A 2 d694608dex99a.htm EX-99.A EX-99.A
CUSIP No. 632307 10 4    13 G   

 

EXHIBIT A

JOINT FILING STATEMENT

We, the undersigned, hereby express our agreement that the attached statement on Schedule 13G relating to the Common Stock of Natera, Inc. is filed on behalf of each of us.

Dated: February 8, 2019

 

CLAREMONT CREEK VENTURES, L.P.
By: Claremont Creek Partners, LLC
Its: General Partner
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK PARTNERS FUND, L.P.
By: Claremont Creek Partners, LLC
Its: General Partner
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK PARTNERS, LLC
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK VENTURES II, L.P.
By: Claremont Creek Partners II, LLC
Its: General Partner
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director
CLAREMONT CREEK PARTNERS II, LLC
By:  

/s/ Randall Hawks

Randall Hawks, Managing Director

/s/ Randall Hawks

Randall Hawks

/s/ Nathaniel Goldhaber

Nathaniel Goldhaber