Ryan Trimble - 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 +9.82K +26.16% 47.4K Jul 19, 2021 Held by The Trimble Trust F1, F2
transaction SERA Class A Common Stock Conversion of derivative security +1.5K +3.17% 48.9K Jul 19, 2021 Held by The Trimble Trust F2, F3
transaction SERA Class A Common Stock Conversion of derivative security +2.97K +6.08% 51.8K Jul 19, 2021 Held by The Trimble Trust F2, F4
transaction SERA Class A Common Stock Conversion of derivative security +13.3K +25.72% 65.2K Jul 19, 2021 Held by The Trimble Trust F2, F5
transaction SERA Class A Common Stock Conversion of derivative security +35.4K +54.27% 101K Jul 19, 2021 Held by The Trimble Trust 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-2 Preferred Stock Conversion of derivative security $0 -9.82K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 9.82K Held by The Trimble Trust F1, F2, F7
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -1.5K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 1.5K Held by The Trimble Trust F2, F3, F7
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -2.97K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 2.97K Held by The Trimble Trust F2, F4, F7
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -13.3K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 13.3K Held by The Trimble Trust F2, F5, F7
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -35.4K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 35.4K Held by The Trimble Trust F2, F6, F7
* 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 Mr. Trimble is the Trustee for The Trimble Trust and may be deemed to beneficially own the shares held by The Trimble Trust.
F3 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.
F4 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.
F5 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.
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 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.