Joshua Phillips - Jun 3, 2024 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Director
Signature
/s/ Benjamin G. Jackson, Attorney-in-fact
Stock symbol
SERA
Transactions as of
Jun 3, 2024
Transactions value $
$0
Form type
4
Date filed
6/5/2024, 08:35 PM
Previous filing
Jul 7, 2023
Next filing
Jun 7, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SERA Class A Common Stock Other $0 -382K -98.26% $0.00 6.75K Jun 3, 2024 Held by Catalyst Health Ventures, L.P. F1, F2
transaction SERA Class A Common Stock Other $0 -156K -94.12% $0.00 9.77K Jun 3, 2024 Held by Catalyst Health Ventures (PF), L.P. F2, F3
transaction SERA Class A Common Stock Other $0 +1.47K +5.3% $0.00 29.3K Jun 3, 2024 Direct F4, F5
transaction SERA Class A Common Stock Other $0 -357K -95.28% $0.00 17.7K Jun 3, 2024 Held by CHV Investments, LLC F2, F6
transaction SERA Class A Common Stock Other $0 +2.3K $0.00 2.3K Jun 3, 2024 Held by Trust F7, F8
transaction SERA Class A Common Stock Other $0 +5.03K +17.21% $0.00 34.3K Jun 3, 2024 Direct F7
transaction SERA Class A Common Stock Other $0 -36K -99.98% $0.00 8 Jun 3, 2024 Held by Catalyst Health Ventures Follow-on Fund, L.P. F2, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Catalyst Health Ventures, L.P. ("CHV LP") distributed these shares to its limited partners on a pro rata basis, for no consideration.
F2 CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein.
F3 CHV PF distributed these shares to its limited partners on a pro rata basis, for no consideration.
F4 Represents the pro-rata distribution from CHV PF, and not a purchase or sale, without additional consideration.
F5 Includes 25,815 shares received as a pro-rata distribution from CHV LP and 1,970 shares received as a pro-rata distribution from CHV PF. In prior reports, the reporting person reported beneficial ownership of 388,622 shares held directly by CHV LP and 166,098 shares held directly by CHV PF.
F6 CHV Investments distributed these shares to its limited members on a pro rata basis, for no consideration.
F7 Represents the pro-rata distribution from CHV Investments, and not a purchase or sale, without additional consideration.
F8 The shares are held by a living trust, of which the reporting person is a trustee and in which the reporting person has a beneficial interest.
F9 CHV FO distributed these shares to its limited partners on a pro rata basis, for no consideration.