John J. Boniface - Mar 27, 2024 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Scientific Officer
Signature
/s/ Benjamin G. Jackson, Attorney-in-fact
Stock symbol
SERA
Transactions as of
Mar 27, 2024
Transactions value $
-$661,075
Form type
4
Date filed
3/28/2024, 05:56 PM
Previous filing
Mar 26, 2024
Next filing
May 10, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SERA Class A Common Stock Sale -$36.1K -3.75K -2.61% $9.62 140K Mar 27, 2024 Direct F1, F2
transaction SERA Class A Common Stock Options Exercise $44.5K +48.9K +34.99% $0.91* 189K Mar 27, 2024 Direct
transaction SERA Class A Common Stock Sale -$471K -48.9K -25.92% $9.62 140K Mar 27, 2024 Direct F1, F2
transaction SERA Class A Common Stock Options Exercise $22.3K +24.5K +17.51% $0.91* 164K Mar 28, 2024 Direct
transaction SERA Class A Common Stock Sale -$221K -24.5K -14.9% $9.04 140K Mar 28, 2024 Direct F1, F3

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 Stock Option (right to buy) Options Exercise $0 -48.9K -66.65% $0.00 24.5K Mar 27, 2024 Class A Common Stock 48.9K $0.91 Direct F4
transaction SERA Stock Option (right to buy) Options Exercise $0 -24.5K -100% $0.00* 0 Mar 28, 2024 Class A Common Stock 24.5K $0.91 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2023.
F2 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.06 to $9.85, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.
F3 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.58 to $9.24, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.
F4 The shares subject to this option are fully vested and exercisable.