BXHCP SP II, LLC 4
4 · SERA PROGNOSTICS, INC. · Filed Jul 21, 2021
Insider Transaction Report
Form 4
Blue Ox Healthcare Partners, LLC
10% Owner
Transactions
- Conversion
Class A Common Stock
2021-07-19+1,204,508→ 1,204,508 total(indirect: By LLC) - Conversion
Class A Common Stock
2021-07-19+1,515,595→ 1,515,595 total(indirect: By LLC) - Conversion
Series E Convertible Preferred Stock
2021-07-19−1,204,508→ 0 total(indirect: By LLC)→ Class A Common Stock (1,204,508 underlying) - Conversion
Class A Common Stock
2021-07-19+1,075,047→ 1,075,047 total(indirect: By LLC) - Conversion
Series D Convertible Preferred Stock
2021-07-19−1,515,595→ 0 total(indirect: By LLC)→ Class A Common Stock (1,515,595 underlying) - Conversion
Series D Convertible Preferred Stock
2021-07-19−1,075,047→ 0 total(indirect: By LLC)→ Class A Common Stock (1,075,047 underlying)
Footnotes (3)
- [F1]Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date.
- [F2]Represents shares of Series E Convertible Preferred Stock were automatically converted into Common Stock in connection with the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.
- [F3]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.