4//SEC Filing
Phillips Joshua 4
Accession 0000950170-25-005590
CIK 0001534969other
Filed
Jan 13, 7:00 PM ET
Accepted
Jan 14, 9:56 PM ET
Size
32.3 KB
Accession
0000950170-25-005590
Insider Transaction Report
Form 4
Phillips Joshua
Director
Transactions
- Sale
Class A Common Stock
2025-01-13$6.39/sh−2,415$15,432→ 1,814 total(indirect: Held by Catalyst Health Ventures, L.P.) - Sale
Class A Common Stock
2025-01-10$7.18/sh−4,896$35,153→ 12,788 total(indirect: By LLC) - Sale
Class A Common Stock
2025-01-10$8.03/sh−1,674$13,442→ 11,114 total(indirect: By LLC) - Sale
Class A Common Stock
2025-01-14$6.29/sh−4,827$30,362→ 0 total(indirect: By LLC) - Sale
Class A Common Stock
2025-01-14$6.29/sh−1,814$11,410→ 0 total(indirect: Held by Catalyst Health Ventures, L.P.) - Sale
Class A Common Stock
2025-01-10$8.03/sh−921$7,396→ 6,153 total(indirect: Held by Catalyst Health Ventures (PF), L.P.) - Sale
Class A Common Stock
2025-01-14$6.29/sh−2,695$16,952→ 0 total(indirect: Held by Catalyst Health Ventures (PF), L.P.) - Sale
Class A Common Stock
2025-01-10$7.18/sh−1,881$13,506→ 4,872 total(indirect: Held by Catalyst Health Ventures, L.P.) - Sale
Class A Common Stock
2025-01-10$7.18/sh−2$14→ 6 total(indirect: Held by Catalyst Health Ventures Follow-on Fund, L.P.) - Sale
Class A Common Stock
2025-01-10$8.03/sh−1$8→ 5 total(indirect: Held by Catalyst Health Ventures Follow-on Fund, L.P.) - Sale
Class A Common Stock
2025-01-13$6.39/sh−3$19→ 2 total(indirect: Held by Catalyst Health Ventures Follow-on Fund, L.P.) - Sale
Class A Common Stock
2025-01-14$6.29/sh−2$13→ 0 total(indirect: Held by Catalyst Health Ventures Follow-on Fund, L.P.) - Sale
Class A Common Stock
2025-01-13$6.39/sh−6,287$40,174→ 4,827 total(indirect: By LLC) - Sale
Class A Common Stock
2025-01-10$8.03/sh−643$5,163→ 4,229 total(indirect: Held by Catalyst Health Ventures, L.P.) - Sale
Class A Common Stock
2025-01-10$7.18/sh−2,692$19,329→ 7,074 total(indirect: Held by Catalyst Health Ventures (PF), L.P.) - Sale
Class A Common Stock
2025-01-13$6.39/sh−3,458$22,097→ 2,695 total(indirect: Held by Catalyst Health Ventures (PF), L.P.)
Footnotes (6)
- [F1]The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024.
- [F2]The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $7.00 to $7.37, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade.
- [F3]The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $8.00 to $8.07, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade.
- [F4]The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.13 to $6.75, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade.
- [F5]The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.03 to $6.57, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade.
- [F6]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.
Documents
Issuer
SERA PROGNOSTICS, INC.
CIK 0001534969
Entity typeother
Related Parties
1- filerCIK 0001871555
Filing Metadata
- Form type
- 4
- Filed
- Jan 13, 7:00 PM ET
- Accepted
- Jan 14, 9:56 PM ET
- Size
- 32.3 KB