Trimble Ryan 4
4 · SERA PROGNOSTICS, INC. · Filed Jul 21, 2021
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.