InsiderTrades

Form 4 for SERA SERA PROGNOSTICS, INC.

Accepted 2021-07-21 00:00:00 ET · period of report 2021-07-19 · accession 0001104659-21-094475 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
DMI 2021-07-21 2021-07-19 SERA BXHCP SP II, LLC 10% C - Cnv Deriv — +3.80M 1.20M New —
DMI 2021-07-21 2021-07-19 SERA BXHCP SP II, LLC 10% C - Cnv Deriv — -3.80M 0 -100% —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Class A Common Stock 2021-07-19 C A 1,075,047 — 1,075,047 I By BXHCP SP II, LLC — — (F1) Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date. (F3) 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.
2 Common Class A Common Stock 2021-07-19 C A 1,515,595 — 1,515,595 I By Blue Ox Healthcare Partners SP, LLC — — (F1) Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date. (F3) 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.
3 Common Class A Common Stock 2021-07-19 C A 1,204,508 — 1,204,508 I By BXHCP SP III, LLC — — (F2) Represents shares of Series E Convertible Preferred Stock were automatically converted into Common Stock in connection with the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date. (F3) 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.
4 Derivative Series E Convertible Preferred Stock 2021-07-19 C D 1,204,508 — 0 I By BXHCP SP III, LLC — · — to — 1,204,508 Class A Common Stock (F2) Represents shares of Series E Convertible Preferred Stock were automatically converted into Common Stock in connection with the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date. (F3) 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.
5 Derivative Series D Convertible Preferred Stock 2021-07-19 C D 1,075,047 — 0 I By BXHCP SP II, LLC — · — to — 1,075,047 Class A Common Stock (F1) Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date. (F3) 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.
6 Derivative Series D Convertible Preferred Stock 2021-07-19 C D 1,515,595 — 0 I By Blue Ox Healthcare Partners SP, LLC — · — to — 1,515,595 Class A Common Stock (F1) Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date. (F3) 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.