Joshua Phillips - Jul 19, 2021 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Director
Signature
/s/ Nishant Dharia , Attorney-in-fact
Stock symbol
SERA
Transactions as of
Jul 19, 2021
Transactions value $
$0
Form type
4
Date filed
7/21/2021, 06:01 PM
Previous filing
Jul 14, 2021
Next filing
Jun 6, 2022

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 +41.2K +109.68% 78.7K Jul 19, 2021 Held by Catalyst Health Ventures, L.P. F1, F2
transaction SERA Class A Common Stock Conversion of derivative security +232K +294.27% 310K Jul 19, 2021 Held by Catalyst Health Ventures, L.P. F2, F3
transaction SERA Class A Common Stock Conversion of derivative security +19.2K +6.2% 330K Jul 19, 2021 Held by Catalyst Health Ventures, L.P. F2, F4
transaction SERA Class A Common Stock Conversion of derivative security +34K +10.32% 364K Jul 19, 2021 Held by Catalyst Health Ventures, L.P. F2, F5
transaction SERA Class A Common Stock Conversion of derivative security +24.9K +6.86% 389K Jul 19, 2021 Held by Catalyst Health Ventures, L.P. F2, F6
transaction SERA Class A Common Stock Conversion of derivative security +166K +42.74% 555K Jul 19, 2021 Held by Catalyst Health Ventures (PF), L.P. F2, F3
transaction SERA Class A Common Stock Conversion of derivative security +41.2K +7.43% 596K Jul 19, 2021 Held by CHV Investments, LLC F2, F4
transaction SERA Class A Common Stock Conversion of derivative security +85.6K +14.36% 681K Jul 19, 2021 Held by CHV Investments, LLC F2, F5
transaction SERA Class A Common Stock Conversion of derivative security +47.9K +7.02% 729K Jul 19, 2021 Held by CHV Investments, LLC F2, F7
transaction SERA Class A Common Stock Conversion of derivative security +39.1K +5.36% 768K Jul 19, 2021 Held by CHV Investments, LLC F2, F6
transaction SERA Class A Common Stock Conversion of derivative security +161K +20.9% 929K Jul 19, 2021 Held by CHV Investments, LLC F2, F8
transaction SERA Class A Common Stock Conversion of derivative security +32.3K +3.48% 961K Jul 19, 2021 Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F7
transaction SERA Class A Common Stock Conversion of derivative security +3.71K +0.39% 965K Jul 19, 2021 Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F6

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-1 Preferred Stock Conversion of derivative security $0 -41.2K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 41.2K Held by Catalyst Health Ventures, L.P. F1, F2, F9
transaction SERA Series A-2 Preferred Stock Conversion of derivative security $0 -232K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 232K Held by Catalyst Health Ventures, L.P. F2, F3, F9
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -19.2K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 19.2K Held by Catalyst Health Ventures, L.P. F2, F4, F9
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -34K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 34K Held by Catalyst Health Ventures, L.P. F2, F5, F9
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -24.9K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 24.9K Held by Catalyst Health Ventures, L.P. F2, F6, F9
transaction SERA Series A-2 Preferred Stock Conversion of derivative security $0 -166K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 166K Held by Catalyst Health Ventures (PF), L.P. F2, F3, F9
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -41.2K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 41.2K Held by CHV Investments, LLC F2, F4, F9
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -85.6K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 85.6K Held by CHV Investments, LLC F2, F5, F9
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -47.9K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 47.9K Held by CHV Investments, LLC F2, F7, F9
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -39.1K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 39.1K Held by CHV Investments, LLC F2, F6, F9
transaction SERA Series E Preferred Stock Conversion of derivative security $0 -161K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 161K Held by CHV Investments, LLC F2, F8, F9
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -32.3K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 32.3K Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F7, F9
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -3.71K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 3.71K Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F6, F9
* 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-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 $6.07 per share. The Series A-1 Preferred Stock has no expiration date.
F2 CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein.
F3 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.
F4 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.
F5 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.
F6 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.
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 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.
F9 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.