GREGORY C. CRITCHFIELD - 14 Jul 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Executive Officer, Director
Signature
/s/ Nishanti Dharia, Attorney-in-fact
Issuer symbol
SERA
Transactions as of
14 Jul 2021
Net transactions value
$0
Form type
3
Filing time
14 Jul 2021, 21:52:41 UTC
Next filing
21 Jul 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SERA Class A Common Stock 79,140 14 Jul 2021 Direct
holding SERA Class A Common Stock 630,832 14 Jul 2021 Held by The Gregory C. Critchfield & Trust F1

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
holding SERA Series A-2 Preferred Stock 14 Jul 2021 Class A Common Stock 34,383 $5.20 Direct F2, F3, F4
holding SERA Series B-1 Preferred Stock 14 Jul 2021 Class A Common Stock 5,253 $5.20 Direct F2, F3, F5
holding SERA Series B-2 Preferred Stock 14 Jul 2021 Class A Common Stock 11,880 $8.32 Direct F2, F3, F6
holding SERA Series C-1 Preferred Stock 14 Jul 2021 Class A Common Stock 4,727 $12.37 Direct F2, F3, F7
holding SERA Series D Preferred Stock 14 Jul 2021 Class A Common Stock 28,730 $9.02 Direct F2, F3, F8
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 300,610 $1.98 Direct F9
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 462,338 $1.77 Direct F9
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 98,330 $5.32 Direct F9
holding SERA Warrant (right to buy) 14 Jul 2021 Class A Common Stock 4,412 $9.02 Held by the Gregory C. Critchfield & Trust F1, F10
holding SERA Warrant (right to buy) 14 Jul 2021 Class A Common Stock 4,412 $10.83 Held by the Gregory C. Critchfield & Trust F1, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Dr. Critchfield is a Trustee of the Gregory C. Critchfield & Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.
F2 The shares of preferred stock will automatically convert 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.
F3 Not applicable
F4 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.
F5 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.
F6 The Issuer's Series B-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 $8.32 per share. The Series B-2 Preferred Stock has no expiration date.
F7 The Issuer's Series C-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 $12.37 per share. The Series C-1 Preferred Stock has no expiration date.
F8 The Issuer's Series D 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 $9.02 per share. The Series D Preferred Stock has no expiration date.
F9 These stock options vest over four years as follows: 1/48 of the original grant amount vests in monthly installments for four years following the grant date.
F10 Immediately exercisable.

Remarks:

Exhibits 24.1 - Power of Attorney