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: Trimble Ryan (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-19	Class A Common Stock	C	9824	—	Acquired	47373	Indirect
2021-07-19	Class A Common Stock	C	1501	—	Acquired	48874	Indirect
2021-07-19	Class A Common Stock	C	2970	—	Acquired	51844	Indirect
2021-07-19	Class A Common Stock	C	13335	—	Acquired	65179	Indirect
2021-07-19	Class A Common Stock	C	35375	—	Acquired	100554	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-19	Series A-2 Preferred Stock	$	C	9824	Disposed		Class A Common Stock (9824)	Indirect
2021-07-19	Series B-1 Preferred Stock	$	C	1501	Disposed		Class A Common Stock (1501)	Indirect
2021-07-19	Series B-2 Preferred Stock	$	C	2970	Disposed		Class A Common Stock (2970)	Indirect
2021-07-19	Series C-1 Preferred Stock	$	C	13335	Disposed		Class A Common Stock (13335)	Indirect
2021-07-19	Series D Preferred Stock	$	C	35375	Disposed		Class A Common Stock (35375)	Indirect

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: 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.