SERA PROGNOSTICS, INC. — Director's Dealing 2021

Jul 15, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2021-07-14

Reporting Person: Trimble Ryan (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	37549	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A-2 Preferred Stock	$5.20		Class A Common Stock (9824)		Indirect
Series B-1 Preferred Stock	$5.20		Class A Common Stock (1501)		Indirect
Series B-2 Preferred Stock	$8.32		Class A Common Stock (2970)		Indirect
Series C-1 Preferred Stock	$12.37		Class A Common Stock (13335)		Indirect
Series D Preferred Stock	$9.02		Class A Common Stock (35375)		Indirect
Warrants (Right to Buy)	$9.02	2029-07-31	Class A Common Stock (6439)		Indirect
Warrants (Right to Buy)	$10.83	2029-07-31	Class A Common Stock (6439)		Indirect

Footnotes

F1: Mr. Trimble is the Trustee for The Trimble Trust and may be deemed to beneficially own the shares held by The Trimble Trust.

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-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.

F5: 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.

F6: 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.

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 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: Immediately exercisable.