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: Phillips Joshua (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-19	Class A Common Stock	C	41182	—	Acquired	78731	Indirect
2021-07-19	Class A Common Stock	C	231678	—	Acquired	310409	Indirect
2021-07-19	Class A Common Stock	C	19240	—	Acquired	329649	Indirect
2021-07-19	Class A Common Stock	C	34030	—	Acquired	363679	Indirect
2021-07-19	Class A Common Stock	C	24942	—	Acquired	388621	Indirect
2021-07-19	Class A Common Stock	C	166098	—	Acquired	554719	Indirect
2021-07-19	Class A Common Stock	C	41193	—	Acquired	595912	Indirect
2021-07-19	Class A Common Stock	C	85577	—	Acquired	681489	Indirect
2021-07-19	Class A Common Stock	C	47857	—	Acquired	729346	Indirect
2021-07-19	Class A Common Stock	C	39116	—	Acquired	768462	Indirect
2021-07-19	Class A Common Stock	C	160601	—	Acquired	929063	Indirect
2021-07-19	Class A Common Stock	C	32335	—	Acquired	961398	Indirect
2021-07-19	Class A Common Stock	C	3713	—	Acquired	965111	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-19	Series A-1 Preferred Stock	$	C	41182	Disposed		Class A Common Stock (41182)	Indirect
2021-07-19	Series A-2 Preferred Stock	$	C	231678	Disposed		Class A Common Stock (231678)	Indirect
2021-07-19	Series B-1 Preferred Stock	$	C	19240	Disposed		Class A Common Stock (19240)	Indirect
2021-07-19	Series B-2 Preferred Stock	$	C	34030	Disposed		Class A Common Stock (34030)	Indirect
2021-07-19	Series D Preferred Stock	$	C	24942	Disposed		Class A Common Stock (24942)	Indirect
2021-07-19	Series A-2 Preferred Stock	$	C	166098	Disposed		Class A Common Stock (166098)	Indirect
2021-07-19	Series B-1 Preferred Stock	$	C	41193	Disposed		Class A Common Stock (41193)	Indirect
2021-07-19	Series B-2 Preferred Stock	$	C	85577	Disposed		Class A Common Stock (85577)	Indirect
2021-07-19	Series C-1 Preferred Stock	$	C	47857	Disposed		Class A Common Stock (47857)	Indirect
2021-07-19	Series D Preferred Stock	$	C	39116	Disposed		Class A Common Stock (39116)	Indirect
2021-07-19	Series E Preferred Stock	$	C	160601	Disposed		Class A Common Stock (160601)	Indirect
2021-07-19	Series C-1 Preferred Stock	$	C	32335	Disposed		Class A Common Stock (32335)	Indirect
2021-07-19	Series D Preferred Stock	$	C	3713	Disposed		Class A Common Stock (3713)	Indirect

Footnotes

F1: The Issuer's Series A-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 $6.07 per share. The Series A-1 Preferred Stock has no expiration date.

F2: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein.

F3: 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.

F4: 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.

F5: 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.

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 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.

F8: The Issuer's Series E 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 $12.45 per share. The Series E Preferred Stock has no expiration date.

F9: 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.