SERA PROGNOSTICS, INC. — Director's Dealing 2021

Jul 21, 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: Blue Ox Healthcare Partners, LLC (10% Owner)
Reporting Person: Blue Ox Healthcare Partners SP, LLC (10% Owner)
Reporting Person: BXHCP SP II, LLC (10% Owner)
Reporting Person: BXHCP SP III, LLC (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-19	Class A Common Stock	C	1515595	—	Acquired	1515595	Indirect
2021-07-19	Class A Common Stock	C	1075047	—	Acquired	1075047	Indirect
2021-07-19	Class A Common Stock	C	1204508	—	Acquired	1204508	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-19	Series D Convertible Preferred Stock	$	C	1515595	Disposed		Class A Common Stock (1515595)	Indirect
2021-07-19	Series D Convertible Preferred Stock	$	C	1075047	Disposed		Class A Common Stock (1075047)	Indirect
2021-07-19	Series E Convertible Preferred Stock	$	C	1204508	Disposed		Class A Common Stock (1204508)	Indirect

Footnotes

F1: Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date.

F2: Represents shares of Series E Convertible Preferred Stock were automatically converted into Common Stock in connection with the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.

F3: Blue Ox Healthcare Partners, LLC is the manager of each of Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC, and may be deemed to have voting, investment and dispositive power with respect to the shares held by Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC. Charles D. Kennedy MD, Oded Levy, and John A. Neczesny, managing partners of Blue Ox Healthcare Partners, LLC, each may be deemed to share voting, investment and dispositive power with respect to these shares.