| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SERA | Class A Common Stock | Sale | -$88.6K | -12K | -8.49% | $7.36 | 130K | Jan 10, 2025 | Direct | F1, F2, F3 |
| transaction | SERA | Class A Common Stock | Sale | -$9.91K | -1.23K | -0.95% | $8.05 | 128K | Jan 10, 2025 | Direct | F1, F4 |
| transaction | SERA | Class A Common Stock | Sale | -$50.5K | -7.91K | -6.16% | $6.38 | 121K | Jan 13, 2025 | Direct | F1, F5 |
| transaction | SERA | Class A Common Stock | Sale | -$52.1K | -8.41K | -6.97% | $6.20 | 112K | Jan 14, 2025 | Direct | F1, F6 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 20, 2024. |
| F2 | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.99 to $7.95, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
| F3 | Includes 4,785 and 1,432 shares of Class A Common Stock purchased pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP"), for the purchase periods of December 1, 2023 to May 31, 2024 and June 3, 2024 to November 30, 2024, respectively. |
| F4 | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.02 to $8.13, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
| F5 | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.11 to $6.72, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
| F6 | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.03 to $6.44, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |