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SERA PROGNOSTICS, INC. — Director's Dealing 2022
Jul 19, 2022
34084_dirs_2022-07-19_2f0c182f-43c1-47cd-8fc2-de8708503b5e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2022-07-18
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 |
|---|---|---|---|---|---|---|---|
| 2022-07-18 | Class A Common Stock | J | 1383094 | — | Disposed | 132501 | Indirect |
| 2022-07-18 | Class A Common Stock | J | 997627 | — | Disposed | 77420 | Indirect |
| 2022-07-18 | Class A Common Stock | J | 1157764 | — | Disposed | 46744 | Indirect |
Footnotes
F1: Shares have been distributed pro rata for no consideration to certain members of each of Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC in accordance with the required distribution of marketable securities stipulation in the respective Limited Liability Company Agreements.
F2: 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.