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

Role
Chief Executive Officer, Director
Signature
/s/ Nishanti 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, 18:01:56 UTC
Previous filing
14 Jul 2021
Next filing
25 Mar 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 +34,383 +4.8% 744,355 19 Jul 2021 Direct F1, F2
transaction SERA Class A Common Stock Conversion of derivative security +5,253 +0.71% 749,608 19 Jul 2021 Direct F3
transaction SERA Class A Common Stock Conversion of derivative security +11,880 +1.6% 761,488 19 Jul 2021 Direct F4
transaction SERA Class A Common Stock Conversion of derivative security +4,727 +0.62% 766,215 19 Jul 2021 Direct F5
transaction SERA Class A Common Stock Conversion of derivative security +28,730 +3.7% 794,945 19 Jul 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 -34,383 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 34,383 Direct F1, F7
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -5,253 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 5,253 Direct F3, F7
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -11,880 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 11,880 Direct F4, F7
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -4,727 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 4,727 Direct F5, F7
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -28,730 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 28,730 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.