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: CRITCHFIELD GREGORY C (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-19	Class A Common Stock	C	34383	—	Acquired	744355	Direct
2021-07-19	Class A Common Stock	C	5253	—	Acquired	749608	Direct
2021-07-19	Class A Common Stock	C	11880	—	Acquired	761488	Direct
2021-07-19	Class A Common Stock	C	4727	—	Acquired	766215	Direct
2021-07-19	Class A Common Stock	C	28730	—	Acquired	794945	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-19	Series A-2 Preferred Stock	$	C	34383	Disposed		Class A Common Stock (34383)	Direct
2021-07-19	Series B-1 Preferred Stock	$	C	5253	Disposed		Class A Common Stock (5253)	Direct
2021-07-19	Series B-2 Preferred Stock	$	C	11880	Disposed		Class A Common Stock (11880)	Direct
2021-07-19	Series C-1 Preferred Stock	$	C	4727	Disposed		Class A Common Stock (4727)	Direct
2021-07-19	Series D Preferred Stock	$	C	28730	Disposed		Class A Common Stock (28730)	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: Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield & Trust. Dr. Critchfield is a Trustee of the Gregory C. Critchfield & Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.

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.