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SERA PROGNOSTICS, INC. — Director's Dealing 2021
Jul 21, 2021
34084_dirs_2021-07-21_09fcc62f-881e-4936-9730-3b2155f6c4e1.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2021-07-14
Reporting Person: Blue Ox Healthcare Partners, LLC (10% Owner)
Reporting Person: BXHCP SP II, LLC (10% Owner)
Reporting Person: BXHCP SP III, LLC (10% Owner)
Reporting Person: Blue Ox Healthcare Partners SP, LLC (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series D Preferred Stock | $9.02 | Class A Common Stock (1515595) | Indirect | ||
| Series D Preferred Stock | $9.02 | Class A Common Stock (1075047) | Indirect | ||
| Series E Preferred Stock | $12.45 | Class A Common Stock (1204508) | Indirect | ||
| Warrant (right to buy) | $9.02 | 2029-07-31 | Class A Common Stock (378897) | Indirect | |
| Warrant (right to buy) | $10.83 | 2029-07-31 | Class A Common Stock (378897) | Indirect |
Footnotes
F1: The shares of preferred stock will automatically convert 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.
F2: Not applicable
F3: 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.
F4: 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.
F5: 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.
F6: Immediately exercisable.