SERA PROGNOSTICS, INC. — Director's Dealing 2021

Jul 22, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2021-07-19

Reporting Person: MOYES JAY M (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-19	Class A Common Stock	C	2455	—	Acquired	2455	Direct
2021-07-19	Class A Common Stock	C	375	—	Acquired	2830	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-19	Series A-2 Preferred Stock	$	C	2455	Disposed		Class A Common Stock (2455)	Direct
2021-07-19	Series B-1 Preferred Stock	$	C	375	Disposed		Class A Common Stock (375)	Direct

Footnotes

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.