4//SEC Filing
Trimble Ryan 4
Accession 0001104659-21-094518
CIK 0001534969other
Filed
Jul 20, 8:00 PM ET
Accepted
Jul 21, 6:01 PM ET
Size
25.2 KB
Accession
0001104659-21-094518
Insider Transaction Report
Form 4
Trimble Ryan
Director
Transactions
- Conversion
Class A Common Stock
2021-07-19+9,824→ 47,373 total(indirect: By Trust) - Conversion
Class A Common Stock
2021-07-19+13,335→ 65,179 total(indirect: By Trust) - Conversion
Class A Common Stock
2021-07-19+35,375→ 100,554 total(indirect: By Trust) - Conversion
Series A-2 Preferred Stock
2021-07-19−9,824→ 0 total(indirect: By Trust)→ Class A Common Stock (9,824 underlying) - Conversion
Series B-2 Preferred Stock
2021-07-19−2,970→ 0 total(indirect: By Trust)→ Class A Common Stock (2,970 underlying) - Conversion
Series D Preferred Stock
2021-07-19−35,375→ 0 total(indirect: By Trust)→ Class A Common Stock (35,375 underlying) - Conversion
Class A Common Stock
2021-07-19+1,501→ 48,874 total(indirect: By Trust) - Conversion
Class A Common Stock
2021-07-19+2,970→ 51,844 total(indirect: By Trust) - Conversion
Series B-1 Preferred Stock
2021-07-19−1,501→ 0 total(indirect: By Trust)→ Class A Common Stock (1,501 underlying) - Conversion
Series C-1 Preferred Stock
2021-07-19−13,335→ 0 total(indirect: By Trust)→ Class A Common Stock (13,335 underlying)
Footnotes (7)
- [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.
- [F2]Mr. Trimble is the Trustee for The Trimble Trust and may be deemed to beneficially own the shares held by The Trimble Trust.
- [F3]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.
- [F4]The Issuer's Series B-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 $8.32 per share. The Series B-2 Preferred Stock has no expiration date.
- [F5]The Issuer's Series C-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 $12.37 per share. The Series C-1 Preferred Stock has no expiration date.
- [F6]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.
- [F7]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.
Documents
Issuer
SERA PROGNOSTICS, INC.
CIK 0001534969
Entity typeother
Related Parties
1- filerCIK 0001871513
Filing Metadata
- Form type
- 4
- Filed
- Jul 20, 8:00 PM ET
- Accepted
- Jul 21, 6:01 PM ET
- Size
- 25.2 KB