Form 4 for SERA SERA PROGNOSTICS, INC.
Accepted 2021-07-21 00:00:00 ET · period of report 2021-07-19 · accession 0001104659-21-094520 · 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 | MOYES JAY M | CFO | C - Cnv Deriv | — | +2,830 | 2,830 | New | — |
| DM | 2021-07-21 | 2021-07-19 | SERA | MOYES JAY M | CFO | C - Cnv Deriv | $0.00 | -2,830 | 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 | 2,455 | — | 2,455 | 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. |
| 2 | Common | Class A Common Stock | 2021-07-19 | C | A | 375 | — | 2,830 | D | — | — | (F2) 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. |
| 3 | Derivative | Series A-2 Preferred Stock | 2021-07-19 | C | D | 2,455 | $0.00 | 0 | D | — · — to — | 2,455 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. (F3) 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. |
| 4 | Derivative | Series B-1 Preferred Stock | 2021-07-19 | C | D | 375 | $0.00 | 0 | D | — · — to — | 375 Class A Common Stock | (F2) 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. (F3) 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. |