Blue Ox Healthcare Partners, LLC - 14 Jul 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
10%+ Owner
Signature
Blue Ox Healthcare Partners, LLC /s/ John A. Neczesny, Secretary John A. Neczesny, Secretary
Issuer symbol
SERA
Transactions as of
14 Jul 2021
Net transactions value
$0
Form type
3
Filing time
21 Jul 2021, 17:04:48 UTC
Next filing
21 Jul 2021
SEC
View on sec.gov

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 D Preferred Stock 14 Jul 2021 Class A Common Stock 1,515,595 $9.02 By Blue Ox Healthcare Partners SP, LLC F1, F2, F3, F4
holding SERA Series D Preferred Stock 14 Jul 2021 Class A Common Stock 1,075,047 $9.02 By BXHCP SP II, LLC F1, F2, F3, F4
holding SERA Series E Preferred Stock 14 Jul 2021 Class A Common Stock 1,204,508 $12.45 By BXHCP SP III, LLC F1, F2, F4, F5
holding SERA Warrant (right to buy) 14 Jul 2021 Class A Common Stock 378,897 $9.02 By Blue Ox Healthcare Partners SP, LLC F4, F6
holding SERA Warrant (right to buy) 14 Jul 2021 Class A Common Stock 378,897 $10.83 By Blue Ox Healthcare Partners SP, LLC F4, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 Not applicable
F3 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.
F4 Blue Ox Healthcare Partners, LLC is the manager of each of Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC, and may be deemed to have voting, investment and dispositive power with respect to the shares held by Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC. Charles D. Kennedy MD, Oded Levy, and John A. Neczesny, managing partners of Blue Ox Healthcare Partners, LLC, each may be deemed to share voting, investment and dispositive power with respect to these shares.
F5 The Issuer's Series E 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 $12.45 per share. The Series E Preferred Stock has no expiration date.
F6 Immediately exercisable.