JAY M. MOYES - 19 Jul 2021 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Financial Officer
Signature
/s/ Nishant Dharia, Attorney-in-fact
Issuer symbol
SERA
Transactions as of
19 Jul 2021
Transactions value $
$0
Form type
4
Filing time
21 Jul 2021, 18:02:26 UTC
Previous filing
14 Jul 2021
Next filing
25 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SERA Class A Common Stock Conversion of derivative security +2,455 2,455 19 Jul 2021 Direct F1
transaction SERA Class A Common Stock Conversion of derivative security +375 +15% 2,830 19 Jul 2021 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SERA Series A-2 Preferred Stock Conversion of derivative security $0 -2,455 -100% $0* 0 19 Jul 2021 Class A Common Stock 2,455 Direct F1, F3
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -375 -100% $0* 0 19 Jul 2021 Class A Common Stock 375 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date.
F2 The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date.
F3 The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.