Ryan Trimble - 19 Jul 2021 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Director
Signature
/s/ Nishant 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, 18:01:33 UTC
Previous filing
14 Jul 2021
Next filing
06 Jun 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 +9,824 +26% 47,373 19 Jul 2021 Held by The Trimble Trust F1, F2
transaction SERA Class A Common Stock Conversion of derivative security +1,501 +3.2% 48,874 19 Jul 2021 Held by The Trimble Trust F2, F3
transaction SERA Class A Common Stock Conversion of derivative security +2,970 +6.1% 51,844 19 Jul 2021 Held by The Trimble Trust F2, F4
transaction SERA Class A Common Stock Conversion of derivative security +13,335 +26% 65,179 19 Jul 2021 Held by The Trimble Trust F2, F5
transaction SERA Class A Common Stock Conversion of derivative security +35,375 +54% 100,554 19 Jul 2021 Held by The Trimble Trust F2, 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 -9,824 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 9,824 Held by The Trimble Trust F1, F2, F7
transaction SERA Series B-1 Preferred Stock Conversion of derivative security $0 -1,501 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 1,501 Held by The Trimble Trust F2, F3, F7
transaction SERA Series B-2 Preferred Stock Conversion of derivative security $0 -2,970 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 2,970 Held by The Trimble Trust F2, F4, F7
transaction SERA Series C-1 Preferred Stock Conversion of derivative security $0 -13,335 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 13,335 Held by The Trimble Trust F2, F5, F7
transaction SERA Series D Preferred Stock Conversion of derivative security $0 -35,375 -100% $0.000000* 0 19 Jul 2021 Class A Common Stock 35,375 Held by The Trimble Trust F2, 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 Mr. Trimble is the Trustee for The Trimble Trust and may be deemed to beneficially own the shares held by The Trimble Trust.
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.