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SERA PROGNOSTICS, INC. — Director's Dealing 2021
Jul 15, 2021
34084_dirs_2021-07-14_88ed3420-2983-46d6-bd53-1f5f3ecc33a2.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: Phillips Joshua (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 37549 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Preferred Stock | $6.07 | Class A Common Stock (41182) | Indirect | ||
| Series A-2 Preferred Stock | $5.20 | Class A Common Stock (231678) | Indirect | ||
| Series B-1 Preferred Stock | $5.20 | Class A Common Stock (19240) | Indirect | ||
| Series B-2 Preferred Stock | $8.32 | Class A Common Stock (34030) | Indirect | ||
| Series D Preferred Stock | $9.02 | Class A Common Stock (24942) | Indirect | ||
| Series A-2 Preferred Stock | $5.20 | Class A Common Stock (166098) | Indirect | ||
| Series B-1 Preferred Stock | $5.20 | Class A Common Stock (41193) | Indirect | ||
| Series B-2 Preferred Stock | $8.32 | Class A Common Stock (85577) | Indirect | ||
| Series C-1 Preferred Stock | $12.37 | Class A Common Stock (47857) | Indirect | ||
| Series D Preferred Stock | $9.02 | Class A Common Stock (39116) | Indirect | ||
| Series E Preferred Stock | $12.45 | Class A Common Stock (160601) | Indirect | ||
| Series C-1 Preferred Stock | $12.37 | Class A Common Stock (32335) | Indirect | ||
| Series D Preferred Stock | $9.02 | Class A Common Stock (3713) | Indirect | ||
| Warrants (Right to Buy) | $9.02 | 2029-07-31 | Class A Common Stock (9779) | Indirect | |
| Warrants (Right to Buy) | $10.83 | 2029-07-31 | Class A Common Stock (9779) | Indirect | |
| Warrants (Right to Buy) | $9.02 | 2029-07-31 | Class A Common Stock (6235) | Indirect | |
| Warrants (Right to Buy) | $10.83 | 2029-07-31 | Class A Common Stock (6235) | Indirect | |
| Warrants (Right to Buy) | $9.02 | 2029-07-31 | Class A Common Stock (928) | Indirect | |
| Warrants (Right to Buy) | $10.83 | 2029-07-31 | Class A Common Stock (928) | Indirect |
Footnotes
F1: 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 ember 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.
F2: 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.
F3: Not applicable
F4: 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.
F5: 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.
F6: 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.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: Immediately exercisable.