Form 4 for SERA SERA PROGNOSTICS, INC.
Accepted 2021-07-21 00:00:00 ET · period of report 2021-07-19 · accession 0001104659-21-094519 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-21 | 2021-07-19 | SERA | CRITCHFIELD GREGORY C | CEO, Dir | C - Cnv Deriv | — | +85.0K | 794.9K | +12% | — |
| DM | 2021-07-21 | 2021-07-19 | SERA | CRITCHFIELD GREGORY C | CEO, Dir | C - Cnv Deriv | $0.00 | -85.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-07-19 | C | A | 34,383 | — | 744,355 | D | — | — | (F1) 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. (F2) Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield & Trust. Dr. Critchfield is a Trustee of the Gregory C. Critchfield & Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any. |
| 2 | Common | Class A Common Stock | 2021-07-19 | C | A | 11,880 | — | 761,488 | D | — | — | (F4) 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. |
| 3 | Common | Class A Common Stock | 2021-07-19 | C | A | 5,253 | — | 749,608 | D | — | — | (F3) 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. |
| 4 | Common | Class A Common Stock | 2021-07-19 | C | A | 4,727 | — | 766,215 | D | — | — | (F5) 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. |
| 5 | Common | Class A Common Stock | 2021-07-19 | C | A | 28,730 | — | 794,945 | D | — | — | (F6) 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. |
| 6 | Derivative | Series D Preferred Stock | 2021-07-19 | C | D | 28,730 | $0.00 | 0 | D | — · — to — | 28,730 Class A Common Stock | (F6) 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. (F7) The shares of preferred stock automatically converted 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, which became effective on July 19, 2021. |
| 7 | Derivative | Series B-1 Preferred Stock | 2021-07-19 | C | D | 5,253 | $0.00 | 0 | D | — · — to — | 5,253 Class A Common Stock | (F3) 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 shares of preferred stock automatically converted 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, which became effective on July 19, 2021. |
| 8 | Derivative | Series C-1 Preferred Stock | 2021-07-19 | C | D | 4,727 | $0.00 | 0 | D | — · — to — | 4,727 Class A Common Stock | (F5) 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. (F7) The shares of preferred stock automatically converted 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, which became effective on July 19, 2021. |
| 9 | Derivative | Series B-2 Preferred Stock | 2021-07-19 | C | D | 11,880 | $0.00 | 0 | D | — · — to — | 11,880 Class A Common Stock | (F4) 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 shares of preferred stock automatically converted 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, which became effective on July 19, 2021. |
| 10 | Derivative | Series A-2 Preferred Stock | 2021-07-19 | C | D | 34,383 | $0.00 | 0 | D | — · — to — | 34,383 Class A Common Stock | (F1) 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. (F7) The shares of preferred stock automatically converted 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, which became effective on July 19, 2021. |