SERA PROGNOSTICS, INC. — Director's Dealing 2024

Jun 6, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2024-06-03

Reporting Person: Phillips Joshua (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-06-03	Class A Common Stock	J	381869	—	Disposed	6753	Indirect
2024-06-03	Class A Common Stock	J	156332	—	Disposed	9766	Indirect
2024-06-03	Class A Common Stock	J	1473	—	Acquired	29258	Direct
2024-06-03	Class A Common Stock	J	356660	—	Disposed	17684	Indirect
2024-06-03	Class A Common Stock	J	2297	—	Acquired	2297	Indirect
2024-06-03	Class A Common Stock	J	5034	—	Acquired	34292	Direct
2024-06-03	Class A Common Stock	J	36040	—	Disposed	8	Indirect

Footnotes

F1: Catalyst Health Ventures, L.P. ("CHV LP") distributed these shares to its limited partners on a pro rata basis, for no consideration.

F2: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "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 I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I 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: CHV PF distributed these shares to its limited partners on a pro rata basis, for no consideration.

F4: Represents the pro-rata distribution from CHV PF, and not a purchase or sale, without additional consideration.

F5: Includes 25,815 shares received as a pro-rata distribution from CHV LP and 1,970 shares received as a pro-rata distribution from CHV PF. In prior reports, the reporting person reported beneficial ownership of 388,622 shares held directly by CHV LP and 166,098 shares held directly by CHV PF.

F6: CHV Investments distributed these shares to its limited members on a pro rata basis, for no consideration.

F7: Represents the pro-rata distribution from CHV Investments, and not a purchase or sale, without additional consideration.

F8: The shares are held by a living trust, of which the reporting person is a trustee and in which the reporting person has a beneficial interest.

F9: CHV FO distributed these shares to its limited partners on a pro rata basis, for no consideration.