SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 07/01/2015 | 3. Issuer Name and Ticker or Trading Symbol Natera, Inc. [ NTRA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | (1) | (1) | Common Stock | 3,270,626 | (1) | I | By Claremont Creek Ventures, L.P.(2) |
Series A Preferred Stock | (1) | (1) | Common Stock | 109,866 | (1) | I | By Claremont Creek Partners Fund, L.P.(2) |
Series B Preferred Stock | (1) | (1) | Common Stock | 1,535,063 | (1) | I | By Claremont Creek Ventures, L.P.(2) |
Series B Preferred Stock | (1) | (1) | Common Stock | 51,565 | (1) | I | By Claremont Creek Partners Fund, L.P.(2) |
Series C Preferred Stock | (1) | (1) | Common Stock | 773,917 | (1) | I | By Claremont Creek Ventures, L.P.(2) |
Series C Preferred Stock | (1) | (1) | Common Stock | 25,996 | (1) | I | By Claremont Creek Partners Fund, L.P.(2) |
Series D Preferred Stock | (1) | (1) | Common Stock | 355,192 | (1) | I | By Claremont Creek Ventures, L.P.(2) |
Series D Preferred Stock | (1) | (1) | Common Stock | 11,931 | (1) | I | By Claremont Creek Partners Fund, L.P.(2) |
Series E Preferred Stock | (1) | (1) | Common Stock | 581,426 | (1) | I | By Claremont Creek Ventures, L.P.(2) |
Series E Preferred Stock | (1) | (1) | Common Stock | 569,861 | (1) | I | By Claremont Creek Ventures II, L.P.(2) |
Series E Preferred Stock | (1) | (1) | Common Stock | 19,530 | (1) | I | By Claremont Creek Partners Fund, L.P.(2) |
Common Stock Warrant (right to buy) | 11/20/2014(3) | 11/19/2021 | Common Stock | 42,431 | 0.0163 | I | By Claremont Creek Ventures, L.P.(2) |
Common Stock Warrant (right to buy) | 11/20/2014(3) | 11/19/2021 | Common Stock | 41,587 | 0.0163 | I | By Claremont Creek Ventures II, L.P.(2) |
Common Stock Warrant (right to buy) | 11/20/2014(3) | 11/19/2021 | Common Stock | 1,425 | 0.0163 | I | By Claremont Creek Partners Fund, L.P.(2) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. 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. |
2. 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. |
3. All or a portion of the shares exercisable under this warrant shall be deemed net exercised upon the closing of the Issuer's initial public offering. |
Remarks: |
/s/ Meaghan Nelson, attorney in fact | 07/01/2015 | |
/s/ Meaghan Nelson, attorney-in-fact | 07/01/2015 | |
/s/ Meaghan Nelson, attorney in fact | 07/01/2015 | |
** 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 5 (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. |