Jay M. Moyes - Jul 19, 2021 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role: Chief Financial Officer
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, 06:02 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		+2.46K			2.46K	Jul 19, 2021	Direct	F1
transaction	SERA	Class A Common Stock	Conversion of derivative security		+375	+15.27%		2.83K	Jul 19, 2021	Direct	F2

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	-2.46K	-100%	$0.00^*	0	Jul 19, 2021	Class A Common Stock	2.46K		Direct	F1, F3
transaction	SERA	Series B-1 Preferred Stock	Conversion of derivative security	$0	-375	-100%	$0.00^*	0	Jul 19, 2021	Class A Common Stock	375		Direct	F2, F3

* 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	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.
F3	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.