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

Role
Director
Signature
/s/ Nishant Dharia , Attorney-in-fact
Issuer symbol
SERA
Transactions as of
19 Jul 2021
Net transactions value
$0
Form type
4
Filing time
21 Jul 2021, 18:01:16 UTC
Previous filing
14 Jul 2021
Next filing
06 Jun 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 +41,182 +110% 78,731 19 Jul 2021 Held by Catalyst Health Ventures, L.P. F1, F2
transaction SERA Class A Common Stock Conversion of derivative security +231,678 +294% 310,409 19 Jul 2021 Held by Catalyst Health Ventures, L.P. F2, F3
transaction SERA Class A Common Stock Conversion of derivative security +19,240 +6.2% 329,649 19 Jul 2021 Held by Catalyst Health Ventures, L.P. F2, F4
transaction SERA Class A Common Stock Conversion of derivative security +34,030 +10% 363,679 19 Jul 2021 Held by Catalyst Health Ventures, L.P. F2, F5
transaction SERA Class A Common Stock Conversion of derivative security +24,942 +6.9% 388,621 19 Jul 2021 Held by Catalyst Health Ventures, L.P. F2, F6
transaction SERA Class A Common Stock Conversion of derivative security +166,098 +43% 554,719 19 Jul 2021 Held by Catalyst Health Ventures (PF), L.P. F2, F3
transaction SERA Class A Common Stock Conversion of derivative security +41,193 +7.4% 595,912 19 Jul 2021 Held by CHV Investments, LLC F2, F4
transaction SERA Class A Common Stock Conversion of derivative security +85,577 +14% 681,489 19 Jul 2021 Held by CHV Investments, LLC F2, F5
transaction SERA Class A Common Stock Conversion of derivative security +47,857 +7% 729,346 19 Jul 2021 Held by CHV Investments, LLC F2, F7
transaction SERA Class A Common Stock Conversion of derivative security +39,116 +5.4% 768,462 19 Jul 2021 Held by CHV Investments, LLC F2, F6
transaction SERA Class A Common Stock Conversion of derivative security +160,601 +21% 929,063 19 Jul 2021 Held by CHV Investments, LLC F2, F8
transaction SERA Class A Common Stock Conversion of derivative security +32,335 +3.5% 961,398 19 Jul 2021 Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F7
transaction SERA Class A Common Stock Conversion of derivative security +3,713 +0.39% 965,111 19 Jul 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 -41,182 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 41,182 Held by Catalyst Health Ventures, L.P. F1, F2, F9
transaction SERA Series A-2 Preferred Stock Conversion of derivative security $0 -231,678 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 231,678 Held by Catalyst Health Ventures, L.P. F2, F3, F9
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -19,240 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 19,240 Held by Catalyst Health Ventures, L.P. F2, F4, F9
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -34,030 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 34,030 Held by Catalyst Health Ventures, L.P. F2, F5, F9
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -24,942 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 24,942 Held by Catalyst Health Ventures, L.P. F2, F6, F9
transaction SERA Series A-2 Preferred Stock Conversion of derivative security $0 -166,098 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 166,098 Held by Catalyst Health Ventures (PF), L.P. F2, F3, F9
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -41,193 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 41,193 Held by CHV Investments, LLC F2, F4, F9
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -85,577 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 85,577 Held by CHV Investments, LLC F2, F5, F9
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -47,857 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 47,857 Held by CHV Investments, LLC F2, F7, F9
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -39,116 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 39,116 Held by CHV Investments, LLC F2, F6, F9
transaction SERA Series E Preferred Stock Conversion of derivative security $0 -160,601 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 160,601 Held by CHV Investments, LLC F2, F8, F9
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -32,335 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 32,335 Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F7, F9
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -3,713 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 3,713 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.