Ryan Trimble - 14 Jul 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Director
Signature
/s/ Nishant Dharia, Attorney-in-fact
Issuer symbol
SERA
Transactions as of
14 Jul 2021
Net transactions value
$0
Form type
3
Filing time
14 Jul 2021, 21:49:12 UTC
Next filing
21 Jul 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SERA Class A Common Stock 37,549 14 Jul 2021 Held by The Trimble Trust F1

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
holding SERA Series A-2 Preferred Stock 14 Jul 2021 Class A Common Stock 9,824 $5.20 Held by The Trimble Trust F1, F2, F3, F4
holding SERA Series B-1 Preferred Stock 14 Jul 2021 Class A Common Stock 1,501 $5.20 Held by The Trimble Trust F1, F2, F3, F5
holding SERA Series B-2 Preferred Stock 14 Jul 2021 Class A Common Stock 2,970 $8.32 Held by The Trimble Trust F1, F2, F3, F6
holding SERA Series C-1 Preferred Stock 14 Jul 2021 Class A Common Stock 13,335 $12.37 Held by The Trimble Trust F1, F2, F3, F7
holding SERA Series D Preferred Stock 14 Jul 2021 Class A Common Stock 35,375 $9.02 Held by The Trimble Trust F1, F2, F3, F8
holding SERA Warrants (Right to Buy) 14 Jul 2021 Class A Common Stock 6,439 $9.02 Held by The Trimble Trust F1, F9
holding SERA Warrants (Right to Buy) 14 Jul 2021 Class A Common Stock 6,439 $10.83 Held by The Trimble Trust F1, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Trimble is the Trustee for The Trimble Trust and may be deemed to beneficially own the shares held by The Trimble Trust.
F2 The shares of preferred stock will automatically convert 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.
F3 Not applicable.
F4 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.
F5 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.
F6 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.
F7 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.
F8 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.
F9 Immediately exercisable.

Remarks:

Exhibits 24.1 - Power of Attorney