Form 4 for SERA SERA PROGNOSTICS, INC.
Accepted 2024-06-05 00:00:00 ET · period of report 2024-06-03 · accession 0001534969-24-000119 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2024-06-05 | 2024-06-03 | SERA | Phillips Joshua | Dir | J - Other | $0.00 | -928.6K | 2,297 | -100% | $0 |
| M | 2024-06-05 | 2024-06-03 | SERA | Phillips Joshua | Dir | J - Other | $0.00 | +6,507 | 29.3K | +29% | $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 | 2024-06-03 | J | D | 36,040 | $0.00 | 8 | I | — | — | |
| 2 | Common | Class A Common Stock | 2024-06-03 | J | A | 5,034 | $0.00 | 34,292 | D | — | — | |
| 3 | Common | Class A Common Stock | 2024-06-03 | J | D | 356,660 | $0.00 | 17,684 | I Held by Trust | — | — | (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. |
| 4 | Common | Class A Common Stock | 2024-06-03 | J | A | 1,473 | $0.00 | 29,258 | D Held by CHV Investments, LLC | — | — | (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. (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. |
| 5 | Common | Class A Common Stock | 2024-06-03 | J | D | 156,332 | $0.00 | 9,766 | I Held by Catalyst Health Ventures (PF), L.P. | — | — | (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. |
| 6 | Common | Class A Common Stock | 2024-06-03 | J | D | 381,869 | $0.00 | 6,753 | I Held by Catalyst Health Ventures, L.P. | — | — | (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. |
| 7 | Common | Class A Common Stock | 2024-06-03 | J | A | 2,297 | $0.00 | 2,297 | I Held by Catalyst Health Ventures Follow-on Fund, L.P. | — | — | (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. |