BXHCP SP II, LLC 3

3 · SERA PROGNOSTICS, INC. · Filed Jul 21, 2021

Form 3

Period: 2021-07-14

10% Owner

Holdings

Series D Preferred Stock
(indirect: By LLC)
Exercise: $9.02→ Class A Common Stock (1,515,595 underlying)
Warrant (right to buy)
(indirect: By LLC)
Exercise: $10.83Exp: 2029-07-31→ Class A Common Stock (378,897 underlying)
Warrant (right to buy)
(indirect: By LLC)
Exercise: $9.02Exp: 2029-07-31→ Class A Common Stock (378,897 underlying)
Series D Preferred Stock
(indirect: By LLC)
Exercise: $9.02→ Class A Common Stock (1,075,047 underlying)
Series E Preferred Stock
(indirect: By LLC)
Exercise: $12.45→ Class A Common Stock (1,204,508 underlying)

Footnotes (6)

[F1]The shares of preferred stock will automatically convert 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.
[F2]Not applicable
[F3]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.
[F4]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.
[F5]The Issuer's Series E 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 $12.45 per share. The Series E Preferred Stock has no expiration date.
[F6]Immediately exercisable.

Documents

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