Gregory C. Critchfield - Jul 19, 2021 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Executive Officer, Director
Signature
/s/ Nishanti 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
Mar 25, 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 +34.4K +4.84% 744K Jul 19, 2021 Direct F1, F2
transaction SERA Class A Common Stock Conversion of derivative security +5.25K +0.71% 750K Jul 19, 2021 Direct F3
transaction SERA Class A Common Stock Conversion of derivative security +11.9K +1.58% 761K Jul 19, 2021 Direct F4
transaction SERA Class A Common Stock Conversion of derivative security +4.73K +0.62% 766K Jul 19, 2021 Direct F5
transaction SERA Class A Common Stock Conversion of derivative security +28.7K +3.75% 795K Jul 19, 2021 Direct 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 -34.4K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 34.4K Direct F1, F7
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -5.25K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 5.25K Direct F3, F7
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -11.9K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 11.9K Direct F4, F7
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -4.73K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 4.73K Direct F5, F7
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -28.7K -100% $0.00* 0 Jul 19, 2021 Class A Common Stock 28.7K Direct 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 Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield & Trust. 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.
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.