MOYES JAY M 4
4 · SERA PROGNOSTICS, INC. · Filed Jul 21, 2021
Insider Transaction Report
Form 4
MOYES JAY M
Chief Financial Officer
Transactions
- Conversion
Class A Common Stock
2021-07-19+2,455→ 2,455 total - Conversion
Class A Common Stock
2021-07-19+375→ 2,830 total - Conversion
Series A-2 Preferred Stock
2021-07-19−2,455→ 0 total→ Class A Common Stock (2,455 underlying) - Conversion
Series B-1 Preferred Stock
2021-07-19−375→ 0 total→ Class A Common Stock (375 underlying)
Footnotes (3)
- [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]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.
- [F3]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.