4//SEC Filing
CRITCHFIELD GREGORY C 4
Accession 0001104659-21-094519
CIK 0001534969other
Filed
Jul 20, 8:00 PM ET
Accepted
Jul 21, 6:01 PM ET
Size
23.7 KB
Accession
0001104659-21-094519
Insider Transaction Report
Form 4
CRITCHFIELD GREGORY C
Director
Transactions
- Conversion
Class A Common Stock
2021-07-19+11,880→ 761,488 total - Conversion
Series A-2 Preferred Stock
2021-07-19−34,383→ 0 total→ Class A Common Stock (34,383 underlying) - Conversion
Series B-2 Preferred Stock
2021-07-19−11,880→ 0 total→ Class A Common Stock (11,880 underlying) - Conversion
Series D Preferred Stock
2021-07-19−28,730→ 0 total→ Class A Common Stock (28,730 underlying) - Conversion
Class A Common Stock
2021-07-19+34,383→ 744,355 total - Conversion
Class A Common Stock
2021-07-19+5,253→ 749,608 total - Conversion
Class A Common Stock
2021-07-19+4,727→ 766,215 total - Conversion
Class A Common Stock
2021-07-19+28,730→ 794,945 total - Conversion
Series B-1 Preferred Stock
2021-07-19−5,253→ 0 total→ Class A Common Stock (5,253 underlying) - Conversion
Series C-1 Preferred Stock
2021-07-19−4,727→ 0 total→ Class A Common Stock (4,727 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]Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield & Trust. Dr. Critchfield is a Trustee of the Gregory C. Critchfield & Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.
- [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 0001191080
Filing Metadata
- Form type
- 4
- Filed
- Jul 20, 8:00 PM ET
- Accepted
- Jul 21, 6:01 PM ET
- Size
- 23.7 KB